Ex. 1002 - 304 File History

AO 120 (Rev.
08/10}
Mail Stop 8 REPORT ON THE

TO:
Director of the U.S. Patent and Trademark Office FILING OR DETERMINATION OF AN
P .0. Box 1450 ACTION REGARDING A PATENT OR
Alexandria, VA 22313-1450 TRADEMARK
In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action has been
filed in the U.S. District Court Eastern Di strict of Texas on the following
0 Trademarks or ~Patents. ( 0 the patent action involves 35 U.S.C. § 292.):
DOCKET NO. DATE FILED U.S. DISTRICT COURT

4:19-cv-880 11/26/2019 Eastern District of Texas
PLAlNTIFF DEFENDANT
AMERICAN PATENTS LLC SHENZHEN TENDA TECHNOLOGY CO., LTD.
PATENTOR DATE OF PATENT

HOLDER OF PATENT OR TRADEMARK
TRADEMARK. NO. OR TRADEMARK.
1 7,088,782 8/8/2006 AMERICAN PATENTS LLC
Jn the above--cntitled case, the following patenl(s}/ lrademark(s) have been included:
DATE INCLUDED INCLUDED BY
D Amendment D Answer D Cross Bill D Other Pleading
TRADEMARK NO. OR TRADEMARK.
In the above--enlitled case. the following decision has been rendered or judgement issued:
DECISION/JUDGE:MENT
I(BY) DEPUTY CLERK
Copy 1-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director
Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4--Case fi!e copy
HPE EXHIBIT 1002 - 1/222

AO 120 <Rev. 08/10)

TO:
P.O. Box 1450 ACTION REGARDING A PATENT OR
filed in the U.S. District Court Eastern District of Texas on the following
D Trademarks or QI' Patents. ( D the patent action involves 35 U.S.C. § 292.):

PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC JUNIPER NETWORKS, lNC.

TRADEMARK NO. OR TRADEMARK
1 7,088,782 B/B/2006 AMERICAN PATENTS LLC
In !he above--entitled case, the following patent(s)/ trademark(s) have been indudcd:
D Amendment D Answer D Cross Bill 0 Other Pleading
TRADEMARK. NO. OR TRADEMARK.
In the above-entitled case, the following decision has been rendered or judgement issued:
DECISION/ruDGEMENT
I (BY) DEPUTY CLERK
Copy I-Upon initiation ofaction, mail this copy to Director Copy ~pon termination ofactioo, mail this copy lo Director
Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Casc file copy

AO 120 fR=. 08/10)

TO:
P .0. Box 1450 · ACTION REGARDING A PATENT OR
In Compliance with 35 U.S.C. § 290 and/or 15 U.S.C. § 1116 you are hereby advised that a court action bas been
D Trademarks or ~Patents. ( D the patent action involves 35 U.S.C. § 292.):
DOCKET NO. DATE FILED U.S. DISTIUCT COURT

PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC Coolpad Group Limited, Coolpad Technologies Inc., and
Yulong Computer Telecommunication Scientific
(Shenzhen) Co. Ltd.

I~ ihe abc;ve-:..cntitted case, the following p~lcnt(s)/ trademark(~) hav~ been inc:luded:' .
.. o· Amendment []Answer D Cross Bill D 01.her Pleading · · -
PATENTOR DATE OF PATENT -
.. --
DECISION/nJDGEMENT
.1 (BY) DEPIITY C~RK

!CLERK
Copy 1-Upon initiation ofaction, mail this copy to Director Copy ~pon·termination of action, mail this copy to Director
Copy 2---Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy

AO 120 (Rev. 08110)
Mail Stops REPORT ON THE

TO:
fJled in the U.S. District Court Eastern District of Texas on the following
0 Trademarks or ~Patents. ( D the patent action involves 35 U.S.C. § 292.):

PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC SOPHOS LIMITED

I 7,088,782 8/8/2006 AMERICAN PATENTS LLC
In the above----enlitled case, the following palent(s)/ tradcmarlc(s) have been included:
D Amendment D Answer D CmssBill D Other Pleading
In the above----entitled case, the fo!Jowing decision has been rendered or judgement issued:
DECISION/JUDGEMENT
I(BY) DEPUTY CLERK
Copy 1-Upon initiation of action, mail this copy to Diredor Copy 3-Upon termination of action, mail this copy to Director
Copy 2-Upon filing document adding patcnt(s), mail this copy to Director Copy 4-Case file copy

AO 120 ffiev. 08110)
Mail Stops REPORT ON THE

TO:
0 Trademarks or lii'f Patents. ( 0 the patent action involves 35 U.S.C. § 292.):

PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC FORTINET, INC.

l 7,088,782 8/8/2006 AMERICAN PATENTS LLC
2 7,310,304 12118/2007 AMERICAN PATENTS LLC
In the abovc----entilled case, the following patent(s)/ trademarlc(s) have been included;
0 Amendment 0 Answer 0 CrossBill D Other Pleading
TRADEMARK. NO. OR TRADEMARK
In the above-entitled case, the follo,,.,ing decision has been rendered or judgement issued:
DECISION/JUDGEMENT
I
(BY) DEPUlY CLERK
Copy I-Upon initiation of action, mail this copy to Director Copy ~pon termination of actioo, mail this copy to Director
Copy 2-Upon filing document adding patent(s). mail this copy to Director Copy 4----Case file copy

AO 120 (Rev. 08110)

TO:
D Trademarks or Glf Patents. ( D the patent action involves 35 U.S.C. § 292.):

4: 19-cv-800 11/4/2019 Eastern District of Texas
PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC ZVXEL COMMUNICATIONS CORPORATION

In the abovc--entitled case, the following patent(s)/ trademark(s) have been included:

In the above--entitled case, the following decision has been rendered or judgement issued:
DECISION/mDGEMENT
ICTDK I (BY) DEPIDY CLERK
Copy 1-U pon iniliation of action, mail this copy to Director Copy 3--Upon termination of action, mail this copy to Director
Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy ~asc file copy

AO 120 (Rev. 08/10) ·

TO:
0 Trademarlcs or ~Patents. ( D the patent action involves 35 U.S.C. § 292.):

PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC HON HAI PRECISION INDUSTRY CO. LTD. 018/A
FOXCONN TECHNOLOGY GROUP, and FOXCONN
INTERCONNECT TECHNOLOGY LTD.

HOLDER Of PATENTOR TRADEMARK
In the above-entitled case. the following patent(s)/ trademark(s) have been included:
0 Amendment D Answer 0 CrossBill D Other Pleading
In the above----entitfod case, the following decision has been rendered or judgement issued:
DECISION/TIJDGEMENT
I(BY) DEPUTY CLERK
Copy 1-Upon initiation of action, mail this copy to Director Copy 3---Upon termination ofadion, mail this copy to Director
Copy 2-Upon filing document adding patcnt(s), mail this copy to Diredor Copy 4----Casc file copy

AO 120 (Rev. 08110)

TO:
Dircdor of the U.S. Patent and Trademark Office FILING OR DETERMINATION OF AN
f"tled in the U.S. District Court Eastern District of Texas on the following
D Trademarks or ~Patents. ( D the patent action involves 35 U.S.C. § 292.):
DOCKET NO. DATE FILED U.S. DISTRICT, COURT

4:19-cv-798 1114/2019 Eastern District of Texas
PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC HEWLETT PACKARD ENTERPRISE COMPANY

1RADEMARK NO. OR TRADEMARK
2 7,310,304 12/18/2007 AMERICAN PATENTS LLC I
Jn the above-entitled case, the following patent(s)/ trademark(s) have been included:
DECISION/JUDGEMENT
I(BY) DEPIJIY CLERK
Copy I-Upon initiation of action, mail this copy to Director Copy 3-Upon termination of action, mail this copy to Director

Case 4:18-cv-00766-ALM Document 2 Filed 10/30/18 Page 1 of 2 PagelD #: 47
AO 120 (Rev. 08/10)
Mai1Stop8 REPORT ON THE

TO:
In Compliance with 35 U.S.C. § 290 and/or 15 U .S.C. § 1116 you are hereby advised that a court action has been
D Trademarlcs or ~atenls. ( D the patent action involves 35 U.S.C. § 292.);

PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC PANASONIC CORPORATION OF NORTH AMERICA

I 7,088,782 818/2006 AMERICAN PATENTS LLC
Jn the above----entilled case, the following patent(s)/ tradcmark(s) have been included;
HOLDER OF PATENT OR TRADE?l.iARK.
TRADEMARK.NO. OR TRADEMARK
1 G{J1J lf a tf'1
2 630/(p,2-&
3
In the above---entitled case, the following decision has been rendered or judgement issued:
DECISION/JUDGEMENT
l(BY) DEPUTY CLERK
Copy 1-Upon initiation of action, mail this copy to Dircdor Copy 3-Upon tennination of action, mail this copy to Director

Case 4:18-cv-00767-ALM Document 2 Filed 10/30/18 Page 1of2 PagelD #: 66
AO 120 ffiev. 08/10)
MailStop8 REPORT ON THE

TO:
Director of the U.S. Patent and Trademark Office Fll..ING OR DETERMINATION OF AN
In Compliance with 35 U .S.C. § 290 and/or 15 U .S.C. § 1116 you are hereby advised that a cowt action has been
filed in the U.S. District Comt Eastern District of Texas on the following
0 Trademarks or ~Patents. ( D the patent action involves 35 U.S.C. § 292.):

4:18-cv-767 10/2612018 Eastern District of Texas
PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC See Exhibit A
PATENTOR DATE OF PATENT HOLDER OF PATENT OR TRADEMARK.

In the above-entitled case, the following patent(s)/ tradema?k(s) have been included:
D
Amendment D Answer D CrossBill D Other Pleading
1 (O(}Z)Lf 0 yq
2 fo 3U' I GJ-&
3
DECISION/JUDGEMENT
l(BY) DEPUTY CLERK IDAIB

Copy 1-Upon initiation of action, mail this copy to Dinc:tor Copy 3---Upon termination ofaction, mail this copy to Direetor
Copy 2---Upon filing document adding patent(s). mail this copy to Director Copy 4-Case file copy

Case 4:18-cv-00768-ALM Document 2 Filed 10/30/18 Page 1of2 PagelD #: 52
AO 120 (Rev. 08110)

TO:
P.O. Boi: 1450 ACTION REGARDING A PATENT OR
In Compliance with 35 U.S.C. § 290and/or15 U.S.C. § 1116 you are hereby advised that a court action has been
filed in the U.S. Dislrict Court Eastern District of Texas on the following
D Trademarlcs or ~Patents. ( D the patent action involves 35 U.S.C. § 292.):

PLAINTIFF DEFENDANT

HOWER OF PATENT OR TRADEMARK
lRADEMARK NO. OR TRADEMARK
In the above----entitled case, the following patent(s)/ trademack(s) have been included:
D Amendment D Answer 0 CmssBill D Other Pleading
HOWER OF PATENT OR TRADEMARK
TRADEMARK.NO. OR TRADEMARK
1 ;;; OlJ o/ 0 ye;

2 ~36! &-;J-l
3
In the above----entitled case, the following decision has been rendered or judgement issued:
DECISION/JUDGEMENT
!(BY) DEPUTY CLERK
Copy 1-Upon initiation of action, mail this copy to Director Copy 3--Upon termination of action, mail this ropy to Director
Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4-Case file copy

AO 120 (Rev. 08/10)

TO:
Director of the U.S. Patent and Trademark Office FILING OR DETER.MINA TION OF AN
[n Compliance with 35 1-LS.C § 2.90 and/or 15 U.S.C. § l l 16 you are hereby advised that a court action has been
0 Trademarks or ~Patents. ( 0 the patent ac1lon invoives 35 U.S.C. § 292.):
DOCKET NO. DATE FILED U.S. DISTRlCT COURT

PLAfNTIFF DEFENDANT

3 7,706,458 412712010 AMERICAN PATENTS LLC
In the above-entitled case, the following patent(s)/ trademark(s) have been included:
i i Amendment D Answer D Cross Bill D Other Pleadmg
[n the above----·entitled case, the following decision has been rendered or judgement issued:
DECISIONiJUDGEMENT
I i1lYJ DEPUTY CLERK
Co1Jy 1-----Upon initiation of action, mail this copy to Director Copy 3·----U11on termination of action, mail this copy to Director
Copy 2----·Upon filing document adding patent(s), mail this copy to Director Copy 4·----Case file copy

Exhibit A
Defendants:
TCL Corp., TCL Communication Ltd., TCL Communication Technology Holdings Ltd., TCL
Electronics Holdings Ltd., TCL King Electrical Appliances (Huizhou) Co. Ltd., and Blackberry
Limited
Patents:
Patent No. Date of Patent Holder of Patent

6. 6,004,049 December 21, 1999 AMERICAN PATENTS LLC
7. 6,301,626 October 9, 2001 AMERICAN PATENTS LLC

AO 120 (Rev. 08/10)

TO:
Director of the U.S. Patent and Trademark Office FILING OR DETER.MINA TION OF AN
[n Compliance with 35 1-LS.C § 2.90 and/or 15 U.S.C. § l l 16 you are hereby advised that a court action has been
0 Trademarks or 0 Patents. ( 0 the patent ac1lon invoives 35 U.S.C. § 292.):
DOCKET NO. DATE FILED U.S. DISTRlCT COURT

4: 18-cv-766 10/26/2018 Eastern District of Texas
PLAfNTIFF DEFENDANT
AMERICAN PATENTS LLC PANASONIC CORPORATION OF NORTH AMERICA

2 7,310,304 12/i 8/2007 AMERICAN PATENTS LLC
3 7,706,458 412712010 AMERICAN PATENTS LLC
In the above-entitled case, the following patent(s)/ trademark(s) have been included:
i i Amendment D Answer D Cross Bill D Other Pleadmg
[n the above----·entitled case, the following decision has been rendered or judgement issued:
DECISIONiJUDGEMENT
I i1lYJ DEPUTY CLERK
Co1Jy 1-----Upon initiation of action, mail this copy to Director Copy 3·----U11on termination of action, mail this copy to Director

Exhibit A


AO 120 (Rev. 08/10)

TO:
Director of the U.S. Patent and Trademark Office FILING OR DETERJ\HNA TION OF AN
[n Compliance with 35 l.LS.C § 290 and/or 15 U.S.C. § 1116 you are hereby advised tha1 a court action has been
0 Trademarks or ~Patents. ( 0 the patent ac1ion involves 35 U.S.C. § 292.):

PLAJJ.'\fTIFF DEFENDANT
AMERICAN PATENTS LLC ACER INC.


., 7,310,304 '12/18/2007 AMERICAN PATENTS LLC
In the above-entitled case, the follmving patent(s)/ trademark(s) have been included:

i i Amendment D Answer D Cross Bill D Other Pleading
[n the above ---entitled case. the following decision has been rendered or judgement issued:
DECISION/JUDGEMENT
I (BY) DEPUTY CLERK
Copy 1-----llpon initiation or action, mail this copy to Director Copy 3·----l.J1mn termirnltion oi' ad.ion, m~iii this copy to Director

Exhibit A


AO 120 (Rev. 08/10)

TO:

AMERICAN PATENTS LLC ASUSTEK COMPUTER INC.



DECISION/JUDGEMENT
I (BY) DEPUTY CLERK

Exhibit A


AO 120 (Rev. 08/10)

TO:

AMERICAN PATENTS LLC HP INC.



DECISION/JUDGEMENT
I (BY) DEPUTY CLERK

Exhibit A


AO 120 (Rev. 08/10)

TO:

AMERICAN PATENTS LLC ONEPLUSTECHNOLOGY(SHENZEN)CO.,LTD.



DECISION/JUDGEMENT
I (BY) DEPUTY CLERK

Exhibit A


AO 120 (Rev. 08/10)

TO:
filed in the U.S. District Court EASTERN DISTRICT OF TEXAS on the following

4:18-cv-675 9/24/2018 EASTERN DISTRICT OF TEXAS
AMERICAN PATENTS LLC ZTE CORPORATION, ZTE (TX), INC., and ZTE (USA)
INC.



*See Exhibit A for additional patents

DECISION/JUDGEMENT
I (BY) DEPUTY CLERK

Exhibit A

7. 6.301.626 October 9, 2001 AMERICAN PATENTS LLC

AO 120 (Rev. 08/10)

TO:

AMERICAN PATENTS LLC HUAWEI DEVICE USA INC., HUAWEI DEVICE

(DONGGUAN) CO., LTD., AND HUAWEI DEVICE CO.,
LTD.



*See Exhibit A for additional patents

DECISIONiJUDGEMENT
I (BY) DEPUTY CLERK

Exhibit A

7. 6.301.626 October 9, 2001 AMERICAN PATENTS LLC

AO 120 (Rev. 08/10)

TO:
filed in the U.S. Dislrict Court EASTERN DISTRICT OF TEXAS on the following
0 Trademarks or Ii!!" Patents. ( D the patent action involves 35 U.S.C. § 292.):

4:18-cv-675 9124/2018 EASTERN DISTRICT OF TEXAS
PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC ZTE CORPORATION, ZTE (TX), INC., and ZTE (USA)
INC.


*See Exhibit A for addirio11af pate11ts
In the above-entitled case, the following patent(s)/ tradcmark(s) have been included:
D Amendment 0 Answer 0 Cross Bill D Other Pleading
PATENTOR DATEOFPATENT
TRADE.l\.1ARK NO. OR TRADEMARK
In the above-entitled case, !he following decision has been rendered or judgement issued:
DECISION/JUDGEMENT
I (BY) DEPUlY CLERK
Copy I-Upon initiation of action, mail this copy to Director Copy 3---Upon termi11ation of actio11, mail this copy to Director
Copy 2-Upon filing document adding patent(s), mail this copy to Director Copy 4--Case tile copy

AO 120 (Rev. 08/10)

TO:
In Compliance with 35 U.S.C. § 290 and.for 15 U.S.C. § 1116 you arc hereby advised that a court action has been
0 Trademarks or [if Patents. ( D the patent action involves 35 U.s.c: § 292.):
PLAINTIFF DEFENDANT
AMERICAN PATENTS LLC HUAWEI DEVICE USA INC., HUAWEI DEVICE
(DONGGUAN) CO., Lm., AND HUAWEI DEVICE CO.,
LTD.


*See Exllibit A/or additional patents
In the above-entitled case, the following patenl(s)/ tradcrnark(s) have been included:
D Amendment D Answer D Cross.Bill 0 Other Pleading
TRADEMARK NO. OR TRADE.MARK
DECISION/JUDGEMENT
I (BY) DEPUTY CLERK
Copy I-Upon initiation of action, mail this copy to Director Copy 3---Upon termination of action, mail this copy to Director
Copy 2-Upon filing document adding patcnt(s), mail this copy to Director Copy 4-Casc fdc copy

Ul\TfED STATES DEPA RTME'IT OF COMMERCE
United States Patent and Trademark Office
Adm"'· COMMISSIO'JER FOR PATENTS
PO Box 1450
Alexandria, Virgmia 22313-1450
\VVi\V.USpto.gov
APPLICATION NUMBER FILING OR 3 71 (C) DATE FIRST NAMED APPLICANT ATTY. DOCKET NO./TITLE
10/128,756 0412412002 Apurva N. Mody 088245-6143

CONFIRMATION NO. 7529
23524 POA ACCEPTANCE LETTER
FOLEY & LARDNER LLP
150 EAST GILMAN STREET 111111111111111111111111]~!l]~~1~~1~~U~~H~~11111111111111111111111111
P.O. BOX 1497
MADISON, WI 53701-1497
Date Mailed: 03/13/2009
NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY

This is in response to the Power of Attorney filed 03/05/2009.
The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the
above address as provided by 37 CFR 1.33.
/snguyen/
Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
page 1of1

Ul\TfED STATES DEPA RTME'IT OF COMMERCE
Adm"'· COMMISSIO'JER FOR PATENTS
PO Box 1450
Alexandria, Virgmia 22313-1450
\VVi\V.USpto.gov
APPLICATION NUMBER FILING OR 3 71 (C) DATE FIRST NAMED APPLICANT ATTY. DOCKET NO./TITLE
10/128,756 0412412002 Apurva N. Mody 062004-1930

22500 POWER OF ATTORNEY NOTICE
BAE SYSTEMS
PO BOX 868 111111111111111111111111]~!l]~~1~~1~~U~~HUt111111111111111111111111
NASHUA, NH 03061-0868
NOTICE REGARDING CHANGE OF POWER OF ATTORNEY

•The Power of Attorney to you in this application has been revoked by the assignee who has intervened as
provided by 37 CFR 3.71. Future correspondence will be mailed to the new address of record(37 CFR 1.33).
/snguyen/
Office of Data Management, Application Assistance Unit (571) 272-4000, or (571) 272-4200, or 1-888-786-0101
page 1of1

PTO/SB/BO {11-0B)
Approved for use through 11/3012011. OMB 0651-0035
U.S. Patent and TrademarK Office: U.S. DEPARTMENT OF COMMERCE
Underthe Paperwork Reduction Act of 1995, oo persons are required to respond to a collection of Information unless It displays a valid OMB control number.
POWER OF ATTORNEY TO PROSECUTE APPLICATIONS BEFORE THE USPTO

I hereby revoke all previous powers of attorney given in the application identified in ihe attached statement under
37 CFR 3.73(b).
I hereby appoint:
GJ Practitioners associated with the Customer Number:
OR I
23524
I
D Practitioner(s) named below (if more than ten patent practitioners are to be named, then a customer number must be used):
Name Registration
Number
I Name
Registration
Number
i~li
jg~~I
as attorney(s} or agent(s) to represent the undersigned before the United States Patent and Trademark Offica (USPTO) In connection wilh
any and all patent applications assigned Qil.!Y. to the undersigned according to tr.e USPTO assignment records or a·ssignment documents
attached to this form in accordance with 37 CFR 3.73(b).
Please change the correspondence address for the application identified in the attached statement under 37 CFR 3.73(b) to:
0The address associated with Customer Number:

23524
-- I I
D Firm or
Individual Name
l
Address
City Istate i !Zip I

Country !Telephone I !Email I
Assignee Name and Address:
TaffCo Three Fund, L.l.C.

2711 Centerville Rd., Suite 400
Wilmington, DE 19808
USA
A copy of this form, together with a statement under 37 CFR 3.73(b) (Form PTO/SB/96 or equivalent) is required to be
filed in each application in which this form is used. The statement under 37 CFR 3. 73(b) may be completed by one of
the practitioners appointed in this fom1 if the appointed practitioner is authorized to act on behalf of the assignee,
and must identify the application in which this Power of Attorney is to be filed.
SIGNATURE of Assignee of Record
The individual whose signature and title is supplied below is authorized to act on behalf of the assignee
Signature \..fnt2,,f f. /r;(/UJY) Date 8-/;;i7 (01

Name Mary Brof,l/i Telephone
Title Authorized Person for TaffCo Three Fund, L.L.C.
This co!lectlon of information ls required by 37 CFR 1.31, 1.32 and 1.33. The information Is required to obtain or re1ain a benefit by 1!:e public which Is lo file (and
by1he USPTO to process) an app!ica1ion. Confldentiafity Is governed by 35 U.S.C.122and 37 CFR 1.11an:l1.'14. This collection Is estimated 1o take 3minutes10
complete, including gat]'lering, preparing, and submitting the completed appllca1ion form to the USPTO. T!,,e will vary depending upan the Individual case. Arry
comments on tha amount of lime you require to compleie this form and/or suggestions for reducing this burden, shouki be sent to the Chlef Information Officer.
U.S. PatBflt and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexa:idria, VA22313-1450. DO NOT SEND FEES OR COMPLETED FORMS
TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
ff you need assistance in completing the form, call 1-BOO-PT0-9199 and select option 2.
MAD[_1810026.1

DECLARATlON REGARDING AUTHORln' TO SIGN ON BEHALF OF A LEGAL ENTITY
(37 C.F.R. 3.73(b){2}(1i)}
I, Mary Brown (whose title is supplied be!ow), hereby declare tha! tam authorized to sign the
Power of Attorney to Prosecute Applications before the USPTO on behalf of TaffCo Three Fund,
LLC.
~-{Yf2.,t-tJ lfncr:{/r_·;~-~
Mary Bro1.,{ij Authorized Person
l l
62/d.7 /()C'
[date]

Electronic Acknowledgement Receipt
EFSID: 4909757
Application Number: 10128756
International Application Number:
Confirmation Number: 7529
ESTIMATING CHANNEL PARAMETERS IN MULTI-INPUT, MULTI-OUTPUT

Title of Invention:
(MIMO) SYSTEMS
First Named Inventor/Applicant Name: Apurva N. Mody
Customer Number: 22500
Filer: Paul S. Hunter/Bill Morris
Filer Authorized By: Paul S. Hunter
Attorney Docket Number: 062004-1 930
Receipt Date: 05-MAR-2009
Filing Date: 24-APR-2002
Time Stamp: 15:06:20
Application Type: Utility under 35 USC 111 (a)
Payment information:
Submitted with Payment no
I
File Listing:
Document File Size( Bytes)/ Multi Pages
Document Description File Name
Number Message Digest Part /.zip (if appl.)
275487
1 PowerofAttorney6143.pdf yes 3
67026b87b35a7261 ea40b70dd418ddd559
a873b0

Multipart Description/PDF files in .zip description
Document Description Start End
Assignee showing of ownership per 37 CFR 3.73(b). 1 1
Power of Attorney 2 3
Warnings:
Information:
Total Files Size (in bytes) 275487
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characterized by the applicant, and including page counts, where applicable. It serves as evidence of receipt similar to a
Post Card, as described in MPEP 503.
New A~~lications Under 35 U.S.C. 111

If a new application is being filed and the application includes the necessary components for a filing date (see 37 CFR
1.53(b)-(d) and MPEP 506), a Filing Receipt (37 CFR 1.54) will be issued in due course and the date shown on this
Acknowledgement Receipt will establish the filing date of the application.
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If a timely submission to enter the national stage of an international application is compliant with the conditions of 35
U.S.C. 371 and other applicable requirements a Form PCT/DO/E0/903 indicating acceptance of the application as a
national stage submission under 35 U.S.C. 371 will be issued in addition to the Filing Receipt, in due course.
New International A~~lication Filed with the USPTO as a Receiving Office

If a new international application is being filed and the international application includes the necessary components for
an international filing date (see PCT Article 11 and MPEP 181 O), a Notification of the International Application Number
and of the International Filing Date (Form PCT/R0/1 OS) will be issued in due course, subject to prescriptions concerning
national security, and the date shown on this Acknowledgement Receipt will establish the international filing date of
the application.

PTQ/§B/96106-04!
Approved for use !hrough 07/31120()6. RMB 0651-0031
U S Patent and TrademarJs Office· U S QEPARTMENT OE COMMERCE
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STATEMENT UNDER 37 CFR 3.73(b)

Applicant/Patent Owner: Mody Apurva N., et al. Confirmation No. 7529
Application No.: 10/128,756 Filed: 04-24-2002
Patent No.: 7,310,304 Issue Date: 12-18-2007
Docket Number: 088245-6143
ESTIMATING CHANNEL PARAMETERS IN MULTl-INPUT, MULTl-OUTPUT (MIMO)
Entitled:
SYSTEMS
TAFFCO THREE FUND, L.L.C. LLC

(Name of Assignee) (Type of Assignee, e.g., corporation, partnership, university,
government agency, elc.)
states that it is:
1. 181 the assignee of the entire right, title, and interest; or

2. D an assignee of less than the entire right, title, and interest
The extent (by percentage) of its ownership interest is %
in the patent application/patent identified above by virtue of either:
A. D An assignment from the inventor(s) of the patent application/patent identified above. The assignment was recorded in the
United States Patent and Trademark Office at Reel/Frame or for which a copy thereof is attached.
OR
B. 181 A chain of title from the inventor(s), of the patent application/patent identified above, to the current assignee as shown below:
1. From: Mody Aourva N., et al. To: GEORGIA TECH RESEARCH CORPORATION
The document was recorded in the United States Patent and Trademark Office at
Reel ~. Frame~. or for which a copy thereof is attached.
2. From: GEORGIA TECH RESEARCH CORPORATION To: BAE SXSTEMS INFORMATION AND ELECTRONIC
SYSJEMS INTEGRATION. INC.
Reel ~. Frame~. or for which a copy thereof is attached.
3. From: BAE SYSTEMS INFORMATION ANp ELECTRONIC SYSTEMS INTEGRATION. INC. To: TAFFCO THREE
FUNp. LLC
Reel 022277, Frame Q1g, or for which a copy thereof is attached.
D Additional documents in the chain of title are listed on a supplemental sheet.
D Copies of assignments or other documents in the chain of title are attached.

[NOTE: A separate copy (i.e., a true copy of the original document(s)) must be submitted to Assignment Division In
accordance with 37 CFR Part 3, if the assignment is to be recorded In the records of the USPTO. See MPEP 302.08}
elow) is authorized to act on behalf of the assigne:..,

=:;Ai'.~;;::::;:c~:!...:::~~~~-===:__-- /'1-IM'-~ L-f r .)..oo '{
Date
Paul S. Hunter (Reg. No. 44,787) (608) 258-4292

Printed or Typed Name Telephone Number
Attorney for Applicant

Title
This collection of Information Is required by 37 CFR 3. 73(b). The information is required 19 obtain or retain a benefit by the public which is to file (and by tha US PTO to process) an
application. Confidentiality is governed by 35 U.S. C. 122 and 37 CF R 1. 14. This collection is estimated 19 take 12 minutes to complete, including gathering, preparing, and submitting the
completed application form to the USPTO. Time will vary depending upon the Individual ceoe. Any comments on the amount of time you require to complete this form and/or suggestions
for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O. Box 1450, Alexandria, VA 22313-1450.
DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450, Alexandria, VA 22313-1450.
ADI 1821631.1

UNITED STA TES p ATENT AND TRADEMARK OFFICE
UNITED STATES DEPARTMENT OF COMMERCE
Address: COMMISSIONER FOR PATENTS
P.O. Box 1450
Alexandria, Virginia 22313-1450
www .uspto.gov
APPLICATION NO. ISSUE DATE PATENT NO. ATTORNEY DOCKET NO. CONFIRMATION NO.
10/128,756 12/18/2007 7310304 062004-1930 7529
22500 7590 11/28/2007

BAE SYSTEMS
PO BOX 868
NASHUA, NH 03061-0868
ISSUE NOTIFICATION
The projected patent number and issue date are specified above.
Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)

(application filed on or after May 29, 2000)
The Patent Term Adjustment is 744 day(s). Any patent to issue from the above-identified application will
include an indication of the adjustment on the front page.
If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
determines Patent Term Adjustment is the filing date of the most recent CPA.
Applicant will be able to obtain more detailed information by accessing the Patent Application Information
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Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the
Office of Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee
payments should be directed to the Customer Service Center of the Office of Patent Publication at
(571)-272-4200.
APPLICANT(s) (Please see PAIR WEB site http://pair.uspto.gov for additional applicants):
Apurva N. Mody, Atlanta, GA;
Gordon L. Stuber, Atlanta, GA;
IR103 (Rev. 11105)

l
Q\pC PART B - FEE(S) TRANSMITTAL
/.
Comp I e and send this\rm, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
Commissioner for Patents
\~ OCT 2 9 2007 f1i' P.O. Box 1450
or Fax (571 )-273-2885
INSTRUCTIO ..._ ould be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks 1 through 5 should be completed where
appropriate. All further-correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
indicated unless corrected below or directed otherwise in Block 1, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
maintenance fee notifications.
CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any change of address) Note: A ccrt1hcate of maihng can only be used for domestic ma1lmgs of the
Fec(s) Transmittal. This certificate cannot be used for any other accompanying
papers. Each additional paper, such as an assignment or formal drawing, must
have its own certificate of mailing or transmission.
22500 7590 08/2212007
Certificate of Mailing or Transmission
BAE SYSTEMS INFORMATION AND I hereby certify that this Fee(s) Transmittal is being deposited with the United
States Postal Service with sufficient postage for first class mail in an enveloP.e
ELECTRONIC SYSTEMS INTEGRATION INC. addressed to the Mail Stop ISSUE FEE address above, or being facsimile
65 SPIT BROOK ROAD transmitted to the USPTO (571) 273-2885, on the date indicated below.
P.O. BOX 868 NHQI-719
NASHUA, NH 03061-0868
Maureen Miles (Depositm's name)
(Signature)
10/29/2007 F\UEKI2 00000095 1'30130 10128756
(Dale)
01 FC!l501 1440.00 DA
)~ 1"1;pe&lcATION NO. J\l\l, vv UH FILING DATE FIRST NAMED INVENTOR CONFIRMATION NO.
l ~·Amn i::>_ ~i\ l\A
10/128,756 04/24/2002 Apurva N. Mody 062004-1930 7529
TITLE OF INVENTION: ESTIMATING CHANNEL PARAMETERS IN MULTI-INPUT, MULTI-OUTPUT (MIMO) SYSTEMS
APPLN. TYPE SMALL ENTITY ISSUE FEE DUE PUBLICATION FEE DUE PREY. PAID ISSUE FEE TOTAL FEE(S) DUE DATE DUE
nonprovisional NO $1400 $300 $0 $1700 11/2312007
EXAMINER ART UNIT CLASS-SUBCLASS
MAIS, MARK A 2616 370-208000

I. Change of correspondence address or indication of "Fee Address" (37 2. For printing on the patent front page, list
CFR l.J63).
(I) the names of up to 3 registered patent attorneys
1 Thomas, Kayden,
D Change of correspondence address (or Change of Correspondence or agents OR, alternatively, Horstemeyer & Risley
Address form PTO/SB/122) attached.
(2) the name of a single firm (having as a member a
D "Fee Address" indication (or "Fee Address" Indication form registered attorney or agent) and the names of up to
PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer 2registeredpatentattorneysoragents. lfnonameis 2. Daniel J. Long
Number is required. ..._ listca, no name will be printed.
3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
(A) NAME OF ASSIGNEE (B) RESIDENCE: (CITY and STATE OR COUNTRY)
BAE Systems Information And Electroaic Nashua, NH

Systems Integration Inc.
Please check the appropriate assignee category or categories (will not be printed on the patent): 0 Individual BCorporation or other private group entity 0 Government
4a. The following fcc(s) arc submitted: 4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
la issue Fee D A check is enclosed.
18
Publication Fee (No small entity discount permitted) D Payment by credit card. Form PT0-2038 is attached.
~Advance Order - #of Copies --t..--~----- !2i2The Director is hereby authorized to charge the reguircd fce(s), any deficiency, or credit any
overpayment, to Deposit Account Number 190130 (enclose an extra copy of this form).
5. Change in Entity Status (from status indicated above)
0 a. Applicant claims SMALL ENTITY status. See 37 CFR 1.27. D b. Applicant is no longer claiming SMALL ENTITY status. Sec 37 CFR I .27(g)(2).
NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
interest as shown by the records of the United States Patent and Trademark Office.
AWh~~redSi'"orure ~ -~
Typed or printed name Daniel J. L0n Registration No. _2_9~,_4_0_4__________
This collection of information is required by 37 CFR 1.311. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process)
an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering, prcpanng, and
submitting the completed application form to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you reguire to complete
this form and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O.
Box 1450, Alcxandna, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
Alexandria, Virginia22313-1450.
Under the Paperwork Reduction Act of 1995, no persons arc required to respond to a collection of information unless it displays a valid OMB control number.
PTOL-85 (Rev. 08/07) Approved for use through 08/31/2007. OMB 0651-0033 HPE
U.S. Patent and Trademark Office; U.S.EXHIBIT 1002
DEPARTMENT - 38/222
OF COMMERCE
UNITED STATES PATENT AND TRADEMARK OFFICE
United States Patent and Trademark Ortlce
P.O. Box 1450
www.uspto.gov
NOTICE OF ALLOWANCE AND FEE(S) DUE
EXAMINER
22500 7590 08/2212007
MAIS, MARK A
BAE SYSTEMS INFORMATION AND
ELECTRONIC SYSTEMS INTEGRATION INC. ART UNIT PAPER NUMBER
65 SPIT BROOK ROAD 2616
P.O. BOX 868 NHQl-719 DA TE MAILED: 0812212007
NASHUA, NH 03061-0868
APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CONFIRMATION NO.
I0/128,756 04/24/2002 Apurva N. Mody 062004-1930 7529

TITLE OF INVENTION: ESTIMATING CHANNEL PARAMETERS IN MULTI-INPUT, MULTI-OUTPUT (MIMO) SYSTEMS
APPLN.TYPE SMALL ENTITY ISSUE FEE DUE PUBLICATION FEE DUE PREV. PAID ISSUE FEE TOTAL FEE(S) DUE DATE DUE
nonprovisional NO $1400 $300 $0 $1700 11/23/2007
THE APPLICATION IDENTIFIED ABOVE HAS BEEN EXAMINED AND IS ALLOWED FOR ISSUANCE AS A PATENT.
PROSECUTION ON THE MERITS IS CLOSED. Tms NOTICE OF ALLOWANCE IS NOT A GRANT OF PATENT RIGHTS.
THIS APPLICATION IS SUBJECT TO WITHDRAWAL FROM ISSUE AT THE INITIATIVE OF THE OFFICE OR UPON
PETITION BY THE APPLICANT. SEE 37 CFR 1.313 AND MPEP 1308.
THE ISSUE FEE AND PUBLICATION FEE (IF REQUIRED) MUST BE PAID WITHIN THREE MONTHS FROM THE
MAILING DATE OF THIS NOTICE OR THIS APPLICATION SHALL BE REGARDED AS ABANDONED. 111IS
STATUTORY PERIOD CANNOT BE EXTENDED. SEE 35 U.S.C. 151. THE ISSUE FEE DUE INDICATED ABOVE DOES
NOT REFLECT A CREDIT FOR ANY PREVIOUSLY PAID ISSUE FEE IN THIS APPLICATION. IF AN ISSUE FEE HAS
PREVIOUSLY BEEN PAID IN THIS APPLICATION (AS SHOWN ABOVE), THE RETURN OF PART B OF THIS FORM
WILL BE CONSIDERED A REQUEST TO REAPPLY THE PREVIOUSLY PAID ISSUE FEE TOWARD THE ISSUE FEE NOW
DUE.
HOW TO REPLY TO THIS NOTICE:
I. Review the SMALL ENTITY status shown above.
If the SMALL ENTITY is shown as YES, verify your current If the SMALL ENTITY is shown as NO:
SMALL ENTITY status:
A. If the status is the same, pay the TOTAL FEE(S) DUE shown A. Pay TOTAL FEE(S) DUE shown above, or
above.
B. If the status above is to be removed, check box Sb on Part B - B. If applicant claimed SMALL ENTITY status before, or is now
Fee(s) Transmittal and pay the PUBLICATION FEE (if required) claiming SMALL ENTITY status, check box Sa on Part B - Fee(s)
and twice the amount of the ISSUE FEE shown above, or Transmittal and pay the PUBLICATION FEE (if required) and 112
the ISSUE FEE shown above.
II. PART B - FEE(S) TRANSMITTAL, or its equivalent, must be completed and returned to the United States Patent and Trademark Office
(USPTO) with your ISSUE FEE and PUBLICATION FEE (if required). If you are charging the fee(s) to your deposit account, section "4b"
of Part B - Fee(s) Transmittal should be completed and an extra copy of the form should be submitted. If an equivalent of Part B is filed, a
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the paper as an equivalent of Part B.
III. All communications regarding this application must give the application number. Please direct all communications prior to issuance to
Mail Stop ISSUE FEE unless advised to the contrary.
IMPORTANT REMINDER: Utility patents issuing on applications filed on or after Dec. 12, 1980 may require payment of
maintenance fees. It is patentee's responsibility to ensure timely payment of maintenance fees when due.
Page 1 of3
PTOL-85 (Rev. 08/07) Approved for use through 08/31/2007.
PART B - FEE(S) TRANSMITTAL
Complete and send this form, together with applicable fee(s), to: Mail Mail Stop ISSUE FEE
P.O. Box 1450
or Fax (571)-273-2885
INSTRUCTIONS: This form should be used for transmitting the ISSUE FEE and PUBLICATION FEE (if required). Blocks I through 5 should be completed where
appropriate. All further correspondence including the Patent, advance orders and notification of maintenance fees will be mailed to the current correspondence address as
indicated unless corrected below or directed otherwise in Block I, by (a) specifying a new correspondence address; and/or (b) indicating a separate "FEE ADDRESS" for
maintenance fee notifications.
CURRENT CORRESPONDENCE ADDRESS (Note: Use Block I for any change of address) Note: A certif1cate of madmg can only be used for domestic maihngs of the
Fee(s) Transmittal. This certificate cannot be used for any other accompanying
papers. Each additional paper, such as an assignment or formal drawing, must
have its own certificate of mailing or transmission.
22500 7590 08/2212007
Certificate of Mailing or Transmission
BAE SYSTEMS INFORMATION AND I hereby certify that this Fcc(s) Transmittal is being deposited with the United
States Postal Service with sufficient postage for first class mail in an enveloP.C
ELECTRONIC SYSTEMS INTEGRATION INC. addressed to the Mail Stop ISSUE FEE address above, or being facsimile
65 SPIT BROOK ROAD transmitted to the USPTO (571) 273-2885, on the date indicated befow.
P.O. BOX 868 NHQI-719
NASHUA, NH 03061-0868
APPLICATION NO. FILING DATE FIRST NAMED INVENTOR ATIORNEY DOCKET NO. CONFIRMATION NO.
I0/128,756 04/24/2002 Apurva N. Mody 062004-1930 7529

TITLE OF INVENTION: ESTIMATING CHANNEL PARAMETERS IN MULTl-INPUT, MULTI-OUTPUT (MIMO} SYSTEMS
APPLN. TYPE SMALL ENTITY ISSUE FEE DUE PUBLICATION FEE DUE PREY.' PAID ISSUE FEE TOTAL FEE(S) DUE DATE DUE
nonprovisional NO $1400 $300 $0 $1700 11123/2007
EXAMINER ART UNIT CLASS-SUBCLASS
MAIS,MARKA 2616 370-208000

I. Change of correspondence address or indication of "Fee Address" (3 7 2. For printing on the patent front page, list
CFR 1.363). (I) the names of up to 3 registered patent attorneys
0 Change of correspondence address (or Change of Correspondence or agents OR, alternatively,
Address form PTO/SB/122) attached. · (2) the name of a single firm (having as a member a
0 "Fee Address" indication (or "Fee Address" Indication form registered attorney or agent) and the names of up to
PTO/SB/47; Rev 03-02 or more recent) attached. Use of a Customer 2 registered patent attorneys or agents. If no name is
Number is required. listed, no name will be printed.
3. ASSIGNEE NAME AND RESIDENCE DATA TO BE PRINTED ON THE PATENT (print or type)
PLEASE NOTE: Unless an assignee is identified below, no assignee data will appear on the patent. If an assignee is identified below, the document has been filed for
recordation as set forth in 37 CFR 3.11. Completion of this form is NOT a substitute for filing an assignment.
(A} NAME OF ASSIGNEE (B) RESIDENCE: (CITY and STATE OR COUNTRY)
Please check the appropriate assignee category or categories (will not be printed on the patent): 0 Individual 0 Corporation or other private group entity 0 Government
4a. The following fcc(s) are submitted: 4b. Payment ofFee(s): (Please first reapply any previously paid issue fee shown above)
0 Issue Fee 0 A check is enclosed.
0 Publication Fee (No small entity .discount permitted} 0 Payment by credit card. Form PT0-2038 is attached.
0 Advance Order - # of Copies 0The Director is hereby authorized to charge the required fce(s), any deficiency, or credit an_y
--------~ overpayment, to Deposit Account Number (enclose an extra copy of this form).
5. Change in Entity Status {from status indicated above)
0 a. Applicant claims SMALL ENTITY status. Sec 37 CFR 1.27. 0 b. Applicant is no longer claiming SMALL ENTITY status. See 37 CFR 1.27(g)(2).
NOTE: The Issue Fee and Publication Fee (if required) will not be accepted from anyone other than the applicant; a registered attorney or agent; or the assignee or other party in
interest as shown by the records of the United States Patent and Trademark Office.
Authorized Signature _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Date _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __
Typed or printed name _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __ Registration N o . - - - - - - - - - - - - - - -

This collection of information is required by 37 CFR 1.311. The information is required to obtain or retain a benefit by the public which is to file (and by the USPTO to process}
an application. Confidentiality is governed by 35 U.S.C. 122 and 37 CFR 1.14. This collection is estimated to take 12 minutes to complete, including gathering, prepanng, and
submitting the completed applicat10n forrn to the USPTO. Time will vary depending upon the individual case. Any comments on the amount of time you require to complete
this forrn and/or suggestions for reducing this burden, should be sent to the Chief Information Officer, U.S. Patent and Trademark Office, U.S. Department of Commerce, P.O.
Box 1450, Alexandria, Virginia 22313-1450. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Commissioner for Patents, P.O. Box 1450,
Alexandria, Virginia 22313-1450.
Under the Paperwork Reduction Act of 1995, no persons arc required to respond to a collection of information unless it displays a valid OMB control number.
PTOL-85 (Rev. 08/07) Approved for use through 08/31/2007. OMB 0651-0033 HPE
U.S. Patent and Trademark Office; U.S.EXHIBIT 1002
DEPARTMENT - 40/222
OF COMMERCE
UNITED STATES p ATENT AND TRADEMARK. OFFICE
P.O. Box 1450
Alexondria, Virginia 22313-1450
www.uspto.gov
10/128,756 0412412002 Apurva N. Mody 062004-1930 7529
EXAMINER
22500 7590 08/22/2007
MAIS, MARK A
ELECTRONIC SYSTEMS INTEGRATION INC. ART UNIT PAPER NUMBER
65 SPIT BROOK ROAD 2616
P.O. BOX 868 NHQl-719 DA TE MAILED: 08/22/2007
NASHUA, NH 03061-0868
Determination of Patent Term Adjustment under 35 U.S.C. 154 (b)

(application filed on or after May 29, 2000)
The Patent Term Adjustment to date is 744 day(s). If the issue fee is paid on the date that is three months after the
mailing date of this notice and the patent issues on the Tuesday before the date that is 28 weeks (six and a half
months) after the mailing date of this notice, the Patent Term Adjustment will be 744 day(s).
If a Continued Prosecution Application (CPA) was filed in the above-identified application, the filing date that
determines Patent Term Adjustment is the filing date of the most recent CPA.
Applicant will be able to obtain more detailed information by accessing the Patent Application Information Retrieval
(PAIR) WEB site (http://pair.uspto.gov).
Any questions regarding the Patent Term Extension or Adjustment determination should be directed to the Office of
Patent Legal Administration at (571)-272-7702. Questions relating to issue and publication fee payments should be
directed to the Customer Service Center of the Office of Patent Publication at 1-(888)-786-0 IO I or
(571)-272-4200.
Page 3 of3
PTOL-85 (Rev. 08/07) Approved for use through 08/3112007.
Application No. Applicant(s)
10/128,756 MODY ET AL.

Notice of Allowability Examiner Art Unit
Mark A. Mais HA 2616
-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address--
All claims being allowable, PROSECUTION ON THE MERITS IS {OR REMAINS) CLOSED in this application. If not included
herewith (or previously mailed), a Notice of Allowance (PTOL-85) or other appropriate communication will be mailed in due course. THIS
NOTICE OF ALLOWABILITY IS NOT A GRANT OF PATENT RIGHTS. This application is subject to withdrawal from issue at the initiative
of the Office or upon petition by the applicant. See 37 CFR 1.313 and MPEP 1308.
1. [gl This communication is responsive to the Amendment filed 26 July 2007 .
.'
2. [gl The allowed claim(s) is/are 41-50 {renumbered 1-101. 63-65£renumbered11-131 and 72-80£renumbered14-221.
3. 0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
a) D All b) D Some* c) D None of the:
1. 0 Certified copies of the priority documents have been received.
2. D Certified copies of the priority documents have been received in Application No. _ _ .
3. 0 Copies of the certified copies of the priority documents have been received in this national stage application from the
International Bureau (PCT Rule 17.2(a)).
• Certified copies not received: _ _ .
Applicant has THREE MONTHS FROM THE "MAILING DATE" of this communication to file a reply complying with the requirements
noted below. Failure to timely comply will result in ABANDONMENT of this application.
THIS THREE-MONTH PERIOD IS NOT EXTENDABLE.
4. 0 A SUBSTITUTE OATH OR DECLARATION must be submitted. Note the attached EXAMINER'S AMENDMENT or NOTICE OF
INFORMAL PATENT APPLICATION (PT0-152) which gives reason(s) why the oath or declaration is deficient.
5. 0 CORRECTED DRAWING.S {as "replacement sheets") must be submitted.

(a) D including changes required by the Notice of Draftsperson's Patent Drawing Review ( PT0-948) attached
1) D hereto or 2) 0 to Paper No./Mail Date _ _.
{b) D including changes required by the attached Examiner's Amendment I Comment or in the Office action of
Paper No./Mail Date _ _ .
Identifying indicia such as the application number (see 37 CFR 1.84(c)) should be written on the drawings in the front (not the back) of
each sheet. Replacementsheet(s) should be labeled as such in the header according to 37 CFR 1.121(d).
6. 0 DEPOSIT. OF and/or INFORMATION about the deposit of BIOLOGICAL MATERIAL must be submitted. Note the
attached Examiner's comment regarding REQUIREMENT FOR THE DEPOSIT OF BIOLOGICAL MATERIAL.
Attachment(s) /
1. ~ Notice of References Cited (PT0-892Y 5. D Notice of Informal Patent Application
2. 0 Notice of Draftperson's Patent Drawing Review (PT0-948) 6. D Interview Summary (PT0-413),
Paper No./Mail Date _ _ .
3. D Information Disclosure Statements (PTO/SB/08), 7. D Examiner's Amendment/Comment
Paper No./Mail Date _ _
4. D Examiner's Comment Regarding Requirement for Deposit
of Biological Material
9. D Other _ _ .
U.S. Patent and Trademark Office

PTOL-37 (Rev. 08-06) Notice of Allowability Part of Paper No./Mai! Date 01082007

Application/Control No. Applicant(s)/Patent Under
Reexamina~ion
10/128,756 MODY ET AL.
Notice of References Cited
Examiner Art Unit
Page 1of1
Mark A. Mais 2616
U.S. PATENT DOCUMENTS
Document Number Date
* Countri Code-Number-Kind Code MM-YYYY Name Classification
* A US-2006/0227904 10-2006 Mueller-Weinfurtner et al. 375/343
* B US-7,139,321 11-2006 Giannakis et al. 375/260
* c US-7, 110,350 09-2006 Li et al. 370/204
D US-
E US-
F US-
G US-
H US-
I US-
J US-
K US-
l US-
M· US-
FOREIGN PATENT DOCUMENTS
* Country Code-Number-Kind Code MM~YYYY
Country Name Classification
0
p
Q
R
s
T
NON-PATENT DOCUMENTS
* Include as applicable: Author, Title Date, Publisher, Edition or Volume, Pertinent Pages)
x
.
•A copy of this reference 1s not bemg furnished with this Office action. (See MPEP § 707.0S(a).}
Dates in MM-YYYY format are publication dates. Classifications may be US or foreign.
U.S. Patent and Trademar1< Office
PT0-892 (Rev. 01-2001) Notice of References Cited Part of Paper No. 01082007

UNITED STATES DEPARTMENT OF COMl\IERCE
United States Potent nnd Trademark Office
Addresa:COMMISSIONER FOR PATENTS
P.O. Box 1450
Alexandria, Vuginia 22313-1450
www.mpto.gov
*BIBDATASHEET* CONFIRMATION NO. 7529

Bib Data Sheet
FILING OR 371 (c)

DATE ATTORNEY
SERIAL NUMBER CLASS GROUP ART UNIT
04/24/2002 DOCKET NO.
10/128,756 370 2616
062004-1930
RULE
APPLICANTS
Gordon L Stuber, Atlanta, GA;
I
••CONTINUING D A T A - - - - - ~
This appln claims benefit of 60/286, 130 04/24/2001
and claims benefit of 60/286, 180 04/24/2001
tt FOREIGN APPLli:ATIONS t t .....- · - ·

.
.
tJ/A!
~
IF REQUIRED, FOREIGN FILING LICENSE GRANTED
** 05/23/2002
Foreign Priority claime D yes 'ti( no r-
0 ~+rr
INDEPENDENl
35 USC 119 (a-d)
met
ditil ns
.
0
Alic
ifj
yes no
- i ,.,.A
STATE OR
COUNTRY
SHEETS
DRAWING
TOTAL
CLAIMS. CLAIMS
Verified and - . v UOi.W'JV_\ GA 8 40 3
l\cknowledqed Examiner's Siqnature nitials
ADDRESS
22500
TITLE
Estimating channel parameters in multi-input, multi-output (MIMO) systems
lo All Fees I
ID 1.16 Fees (Filing) I
FILING FEE FEES: Authority has been given in Paper D 1.17 Fees ( Processing Ext. of
RECEIVED No. to charge/credit DEPOSIT ACCOUNT time)
1230 No. for following:
lo 1.18 Fees (Issue) I
IO Other I
ID Credit I

Application/Control No. . Applicant(s)/Patent under
Issue Classification Reexamination
111 Ill II Ill Ill II1111

10/128,756
Examiner
Mark A. Mais
MODY ET AL.
Art Unit
2616
ISSUE CLASSIFICATION
ORIGINAL CROSS REFERENCE(S)
CLASS I SUBCLASS CLASS SUBCLASS (ONE SUBCLASS PER BLOCK)
370 I 208 370 206 281

INTERNATIONAL CLASSIFlCATION
H 0 4 J 11/00
I
I
I
I
Jj~ais 8/1/2007
(Assistant Examiner) (Date) '~?lf/,J7k !~~7 Total Claims Allowed: 22
WING CHAN O.G. O.G.

~:::?D-a; SUPERVISORY PATENT EXAMINER
(Primary Examiner) (Date)
Print Claim(s) Print Fig.
(Legal Instruments Examiner) (Date) 41 [renumbered 1
claim 11
D Claims renumbered in the same order as presented by applicant DCPA DT.D. D R.1.47
m roc: roc: roc: roc: roc: roc: roc: roc: roc:
c: ·c;, m
c: :g, roc: ·c, roc: :g, roc: ·c, ·c, ·c,
u:: 8 u:: 0 u:: 8 u:: 0 u:: 8 u:: 8 u:: 8
1 31 61
2 32 62
3 33 11 63
4 34 12 64
5 35 13 65
6. 36 66
7 37 67
8 38 68
9 39 69
10 40 70
11 1 41 71
12 2 42 14 72
13 3 43 15 73
14 4 44 16 74
15 5 45 17 75
16 6 46 18 76
17 7 47 19 77
. 18 8 48 20 78
19 9 49 21 79
20 10 50 22 80
21 51
22 52
23 53
24 54
25 55
26 56
27 57
28 58
29 59
30 60
U.S. Patent and Trademark Office Part of Paper No. 01082007
Application/Control No. Applicant(s)/Patent under
Index of Claims Reexamination
10/128,756 MODY ET AL.
1111111 11111 111 II I Examiner
Mark A. Mais
Art Unit
261.6
(Through numeral)
../ Rejected - Cancelled N
Non-Elected
A
Appeal
= Allowed + Restricted I Interference 0 Objected
Claim Date Claim Date Claim Date

"'iii. ,._
..... <ii ..... ..... <ii
"'iii c "' ~ ~
Iii c
~ ~ Iii <::
0 ~
c ·0i c ·0i c ·0i
ii: ~ a; ii:
0 ~ a; ii:
0
1 " ---- -- 51 0 --
--
101
"" --- """ ---

2 52 102
3 - 53 103
-
4
5 ../ " -- -
54
55
" ---
104
105
"" --- -
6 56 106
7 -
-
57
""".------ 107
"""
8 58 108
9 - -- 59 109
-- -
"" ----
10 60 110
...... --
11
12 ../ " -- -
--
61
62 0 --
111
112
13
"" -- -
...... 11 63
" == 113
"" -=
14 12 64 114
15
"" -- --- 13 65 115
""" ----
16 66 116
17
" -- - 67 117
18
19 "" - - 68
69
" --
118
119
"" --- ---

20 70 0 -- 120
21 .:.. 71 0 -- 121
.o =
22
" -- - 14 72
" ==
122
23
24 "" --- --- 15
16
73
74 0
123
124
25
26 "" - - 17
18
75
76
0
0
=
=
=
125
126
"" -- --
27 19 77 0 127
28 20 =
29
"" -- --- 21
78
79 "" =
=
128
129
30
31
32 ../
" -- -
22 80
81
82
" 130
131
132
33
34 "" ---- ---- 83
84
133
134
35
36 "" - - 85
86
135
136
37
38 "" --- --- 87
88
137
138
"" --" -==

39 89 139
40 90 140
1 41 91 141
2 42 92 142
3
4
43
44
"" =
=
93
94
143
144
5 45
46
"" = = 95 145
.
""
6 96 146
7 47 = 97 147
48
8
9
10
49
50
"" = =
=
98
99
148
149
" 100 150

Search Notes Reexamination ,
10/128,756 MODY ETAL.
II 111 11 111 I Ill III I Examiner
Mark A. Mais
Art Unit
2616
SEARCH NOTES
SEARCHED
(INCLUDING SEARCH STRATEGY)
Class Subclass Date Examiner DATE EXMR
370 204-210
See Attached Electronic Search 3/5/2006 JFOX
281
328
329
330
335 See Non-Patent literature Search
3/5/2006 JFOX
342 [IEEE]
404
428
479
480
488
8/1/2007 MAM See inventorship Search 3/5/2006 JFOX
503
130
375
135
140 See Attached Electronic Search
1/26/2007 SB
142 [updated]
144-150
267
285
343 See Attached Electronic Search
8/1/2007 MAM
346 [updated]
348
8/1/2007 MAM·
350
INTERFERENCE SEARCHED See interference Search 8/1/2007 MAM
Class Subclass Date Examiner
206
370 208 8/1/2007 MAM
281

·1
JUL-26 07 19:16 FROM:BAELEGAL 603-885-2167 T0:85712738300 PAGE:03

RECEIVED
CENTRAL FAX CENTER
JUL 2 6 2007
IN THE UNITED STATES PATENT AND TRADEMARK OFFICE
In re application of: E~aminer: Blount. Steven

Mody, et al Art Unit: 2616
Serial No: 101128.756 Dockel No. 20070033
Filed: 04/24/2002 Today's Dace: July 26, 2007
For: Estimating Channel Parameters in Multi-Input, Multi-Oueput (MIMO) Systems
To: Commissioner for Patents

·aox 1450
Alexandria, VA 22313-1450
. q[A /.
AMJRNJJMIBNI ~~ 6t-2o.-Cf1
In response to the office action of 1126/2007. please amend the above captioned
·application as follows.
PAGE 3115 •RCVD AT 7f2612007 5:16:21 PM !Eastern Daylight Time)• SVR:USPTo.EFXRF·112 1.DNIS:2738JOO 1 CSID:60J885 2167 *DURATION (mm.ss):04·38 .

EAST Search History
!
Ref Hits Search Query DBs Default Plurals Time Stamp
# Operator
Ll 9 ( ( ((orthogonal) adj (frequency) US-PGPUB OR ON 2007/08/06 10:00
division} adj (multiplex$3)} or
(OFDM)) AND (encod$3) AND (
((transmit) adj (diversity) adj.
(branch$2}) or ((diversity) adj
(branch$2)) or (diversity) } AND
(modulat$3} AND (demodulat$3)
AND ( (training) near2 ((frame$1)
or (sequence$!) or (structure$1) or
(symbol$!) ) AND (antenna$!) AND
((cyclic) adj (prefix$2)) }.elm.
8/6/2007 10:04:39 AM Page 1

C:\Documents and Settings\mmais\My Documents\EAST\Workspaces\10,128,756 [Interference Search].wsp
UNITED STATES PATENT AND TRADEMARK OrncE
UNITED STATES DF:PARTMENT OF COM:\1EllCE
Addms:COMMISSIONER FOR PATF.NTS
P.O. Box J4SO
Alexandria, \ruginia 223 J3-1450
www.uspto.gov
i\PPUCi\TION NUMBER Fil.ING 01{ 371 (cJ D1\TE FIHST NAME[) i\i'PLICANT :\TTY. DOCK ET NO.fl rru:
10/128,756 04/24/2002 Apurva N. Mody 062004-1930

22500
11111111111~ II~ Ill~ II~ 1111111~ 0~111~ ml [Ill lllll lllll II Im I~ ml II~ 1111
·ocooooooo2s 166306"
ELECTRONIC SYSTEMS INTEGRATION INC.
65 SPIT BROOK ROAD
P.O. BOX 868 NHQ1-719
NASHUA, NH 03061-0868
Date Mailed: 0810212007
NOTICE OF ACCEPTANCE OF POWER OF ATTORNEY
The Power of Attorney in this application is accepted. Correspondence in this application will be mailed to the
above address as provided by 37 CFR 1.33.
()nice ()f Initial Patent Examination (571) 272-4000, or 1-800-PT0-9199

OFFICE COPY

UNITED STAT~;s DEPAllTMENT OF COMMEltc~:
United Stntes Pntcnt nnd Trndemark Office
Add=.: COMMISSIONER FOR PATP.NTS
P.O. Box 1450
Alexandria, Vuginia 223I3·1450
www.uspto.gov
/\PPLK'l'1 TION NUlvlBER F!LINO OR 3il (cJ DATE FIHST NAtv\ED APPLICANT ATl'Y. l:><XKET NO.fHTLE
10/128,756 04/24/2002 Apurva N. Mody 062004-1930

24504
THOMAS, KAYDEN. HORSTEMEYER & RISLEY. LLP
111111111111111~ 11~ 1111111~ m1 11~ 1m 1m ri111 ~m 1111111~11111111~ m 11111111
+ocooooooo2s166224"
100 GALLERIA PARKWAY, NW
STE 1750
ATLANTA, GA 30339-5948
Date Mailed: 0810212007
NOTICE REGARDING CHANGE OF POWER OF ATTORNEY
0 The Power of Attorney to you in this application has been revoked by the applicant. Future correspondence will
be mailed to the new address of record(37 CFR 1.33).
Oflice of Initial Paknt Examination (571) 272-4000, or 1-800-PT0-9 I 99

OFFICE COPY

RECEIVED
CENTRAL FAX CENTER
JUL 26 2007
In re application of: Examiner: Blount. Steven

Mody, et al Art Unit: 2616
Serial No: 10/128.756 Docket No. 20070033
Fi led: 04/24/2002 Today's Date: July 26, 2007
For: Estimating Channel Par.:tmeters in Multi-Input, Mu1ti-Oueput (MIMO) Systems

To: Commissioner for Patents
Box 1450
AMENDMENT
In response to the office action of 1/26/2007. please amend the above captioned
application as follows.
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DURATION !mm-ss):04·38

In the claims
Please amend the claims as is shown on the attached sheets.
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Claims JUL 2 6 2007

l - 40. (cuncelled)
4L. (currently amended) A transmitter in an Orthogonal Frequency Division
Multiplexing (OFDM) system, lhe transmitter comprising:
an encoder configured to process data to be transmitted within the OFDM system,
the encoder further configured to separate the data onto one or more transmit diveTSity
branches (TDBs);
one or more OFDM modulators, eac:h OFDM modulator connected to a respective
TDB. each OFDM modulator configured to produce a frame including a plurality of data
symbols, a training structure. and cyclic prefix.es inse11ed among the data symbols; and
one or more transmitting ancennas in communication with the one or more OFDM
modulators, respectively, each transmitting antenna configured to transmit the respective
frame over a channel;
wherein the training structure of each frame includes a predetermined signal
transmission matrix at a respective sub-channel, each training structure adjusted to have a
subsLantially constant amplitude in a time domain, and the cyclic prefixes are further
inserted within the training symbol. and wherein the cyclic prefixes within the training
symbol are longer than the cyclic prefixes among the data symboJs. thereby countering an
extended channel impulse response and improving synchronization performance:
42. (previously presented) The transmitter of claim 41. wherein the transmitter is
incorporated within a Multi-1.nput, Multi-Output (Mil'VIO) system.
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. JUL-26 07 19:17 FROM:BAELEGAL 603-885-2167 T0:85712738300 PAGE:08
43. (previously prnscnted) The transmitter of claim 42, wherein the training structure
includes infonnar.ion allowing a receiver device to perform synchronizarion and
parameter estimalion for calibrating rhe MIMO system.
44. (previously presented) The transmitter of claim 41, wherein the cyclic prefixes
protect the data symbols against Inter Symbol Interference (ISi).
45. {previous! y presented) The transmitter of claim 41. wherein the encoder
comprises:
a channel encoder;
a symbol mapper in communicacion with an output of the channel encoder;
a space-time processor in communication with outpur of the symbol mapper, the
space-time processor configured to separate the data into the one or more TDB' s~ and
a pi lot/training symbol inserter, the pilotltraining symbol inserter configured to
insert pilot symbols and [raining symbols onto the TBDs.·
46. (previously presented) The transmitter of claim 41. wherein each of the OFDM
modulators comprises:
a serial-to parallel converter~
an inverse discrete Fourier transform (TOFT) stage in communication with an
ouq~ut of the serialito;:W'rallel converter~ ..

. !'. -4 4.4! UIL.Ji!!llJ! .. I .. e -~
"'' ••.--11. !tit. I .
a cyclic prefix inserter in communication with an output of the IDFT state; .
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DURATION (mm-ss):04·38

a parallel-to-serial converter in communication with an output of the cyclic prefix
inserteT;
a digital-to-analog converter (DAC) in communication . with an output of the
parallel-to-se1ial converter:
a local oscillator;
a mixer having a first input and a second input, the first input in communication
with an output of the DC. the second input in communication with an output of the local
oscillator~ and
an amplifier in communication with an output of the mixer.
47. (previously presented) The tTansmiuer of claim 4 l. wherein the rraining structure
includes a signal transmission matrix Tesembling an existing spuce-time block code.
48. (pTeviously presented) The transmitter of claim 41, wherein the training structure
includes a signal transmission matrix having an existing pseudo inverse matrix.
49. (previously presented) The transmitter of claim 41. wherein a length of the
training structure is adjustable.
50. (previously presented) The transmitter of claim 41. wherein a length of the
training structure is equal to a single OFDM symbol using alternate tones transmitted
from different antennas at substantially the same time.
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. JUL -26 07 19: 1 7 FROM: BAELEGAL . 603-885-2167 T0:85712738300 PAGE:10
51 - 62. (cancelled)
63. (currently amended) A method comprising:
receiving one or more frames across a channel from one or more transmitting
antennas. each frame including a plurality of data symbols, training symbols, and cyclic
prefixes inserted among the data and training symbols~
synchronizing the one or more received frames in a time domain;
synchronizing the one or more received frames in a frequency domain; and
estimating parameters of the channel by a process involving one of calculating a
channel coefficient matrix, calculating a signal to noise ratio, calculating a noise
variance, calculating a time correlation. and calculating a frequency correlation, wherein
estimating the parameters of rhe channel further comprises calculating fine channel
estimates. and calculating the fine channel estimates comprises:
zero-padding in the frequencv domain ro eliminate ce11ain frequency components
from the OFDM signal:
calcularing coarse channel estimates using a least squares mechod;
employing a zero-forcing method to calculate the coarse channel estimates;
inrerpolating the channel estimates in the freguency domain:
extrapolating frequency domain values;
reducjng the mean squared error of the coarse channel estimates; und
discarding the unused tones.
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64. (previously presented) The method of claim 63. wherein the one or more frames
are transmitted in a Multi-Input, Multi-Output (MIMO) onhogonal Frequency Division
Multiple11.ing (OFDM) system.
65. (p~viously presented) The method of claim 64, further comprising:
maintaining orthogonality by making a space-time matrix. of rhe training symbols
at each sub-carrier frequency onhogonal or unitary.
66 - 71. (cancelled)
72_ (currenrly amended) The method of claim .+4-63. wherein reducing the mean
squared error comprises at least one of a linear prediction procedure, a procedure for
averaging the coarse channel estimates . in the frequency domain, a procedure for
averaging the coarse channel estimates in the time domain, a procedure for utili2ing
feedback equalizer. a decision directed procedure, a procedure utili7.ing a feedback from
the channel decoder, a procedure for filtering the coarse channel estimates in the
frequency domain, and a procedure for processing the coarse channel estimates in the
time or frequency domain.
73. (previously presented) The method of claim · 63, wherein estimating the
parameters of the channel comprises calculating a noise variance.
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. JUL-2b 07 19:18 FROM:BAELEGAL 603-885-2167 T0:85712738300 PAGE:12
74. (previously presented) The method of claim 73, wherein calculacing the noise
variance comprises calculating noise variance estimates using a unirary signal
transmission matrix.
75. (previously presented) The method of claim 74, wherein calculating the noise
variance estimates comprises calculating the noise variance estimates directly from time
domain coefficients of coarse channel estimates.
76. (previously presented) The method of claim 73~ wherein calculating the noise
variance comprises calculating noise variance estimates ll&ing a non-unitary signal
transmission matrix.
77. (previously presenred) The method of claim 76. wherein calculating the noise
variance estimates comprises:
calculating a noise tenn from coarse channel escimates and fine channel estimates;
muhiplying the noise term by signal transmission matrix;
calculating time domain noise estimate vectors; and
determining a noise variance estimation .from the time domain noise er;timate
vectors.
78. (previously presented) The method of claim 63, further comprising:
solving a system of linear equations; and
calculating a coarse channel estimation from the system of linear equations.
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79. (previously presented) The method of claim 63, wherein the number of training
symbols is equal to Che number of transmitting antennas.
80. (previously presented) The method of claim 63, wherein the number of training
symbols is greater rhac the number of transmitting antennas.
PAGE 13115 t RCVD AT 712612007 5:16:21 PM [Eastern Daylight runeJ t SVR:USPTO.fFXRF·1/2 t DNIS:2738300 t CSID:603 885 2167 t DURATION lfrun·SS):04·38

RECEIVED
CENTRAL FAX CENTER
JUL 2 6 2007
Remarks
The application has been amended to better define the invention. Reconsideration
is respectfully requested.
With respect to the requirement to add a Fig. 13, as applicant's undersigned
attomey discussed with Examiner Mais on 7125/2007, applicant is not aware of a need. for
the same. In any case, it will be understood that any subject matter included in
provisional applications serial no. 60/286.130 and 60/286,180 has already been
incorporated in the present application by reference.
With respect to the rejection of claim 52 under 35USC§ 112, second paragraph,
that claim has now been cancelled.
Claims 53 - 54, 56 - 61, 63 - 69, 73 and 78 - 80 stand rejected under
35USC§ 103{a) as being unpatentable over Wu et al in view of Nasquib ct at
The applicants, however, appreciace the e~aminer's indication chat claims 51, 62,
70 - 72, and 74 - 77 contain patentable subject matter.
The limitations of claim 51 has now been incorporated inro claim 4. The
limitations of claim 66 and 71 have been incorporated into claim 63. Claims 41 - 50, 63
- 65, and 72 - 80, as amended, are therefore believed to be patentable. Claims 5 l - 62
and 66 - 71 have also been cancelled.
It is believed that the application is now in condition for allowance. Jf the
examiner believes that any matters are still at issue, he is requested to contact applicant's
undersigned auomey .
. Jfc,~~lilLilift.JJ . :. iii!'\' -~·!;(;·,
PAGE 5115 •RCVD AT 712612007 5:16:21 PM ~astern Daylight Time]• SVR:USPTO-EFXRF·112 1 DNIS:2738300 1 CSID:603 885 2167 *DURATION {mm-ss):04·38

.JLJL-26' 07 19:17 FROM:BAELEGAL 603-885-2167 TQ:85712738300 PAGE:06
Respectfully submiued,
!::::+s·~
Attorney for Applicant
Registration No. 29.404
BAE SYSTEMS lnfonnation and Electronic Systems Integration Inc.

P.O: Bo:1t 868
Nashua, NH 03061-0868
Tel: 603- 885-2643
I hereby ce1tify that this correspondence is being [ransmined by facsimile (571} 273-8300
to Commissioner of Patents, Box 1450, Alexandria, VA 22313- l450 on July 26, 2007.
/P.-(}1.Af: Ct..\li1@G..~
Gloria Abbasciano
7-J~.b]
Date of Signature
Gloria Abbasciano
PAGE 6115 t RCVD AT 7126/2007 5:16:21 PM [Eastern Daylight Time]' SVR:USPTO.fFXRF·112 •DNIS:2738300 •CSID:603 885 2167 'DURATION (mm-ss):04·38

PTOIS8/S2101-061
A~pmv.:rl fr,irus" thro110~ <213112008. 0M5 On~L(lC•35
I.IS. F'<Miit ,;ru:I Tra;:1.~mork Office, U.S. !)El'Ar<l Mi:NT Of COMMER Ct:
I.Md~! 1h1.": Pn;"'n"W(n't Rr.1rtur.11on Act r:-.f 1{t{f~ oo C•ersons ar~ r~oi.11f!:'ll IC• fo:?!Vand !~-.fl !:Ol!t:\:tn"'•fl or mfumi.1h1u1 unit:~~._ ii rl~;r~;.1vt~ il v;;,:110. fl M 13 comrcit ;ur.-nn')~.
I
f Applicatic.in Number +IB:l28. 756 ""
REVOCATION OF POWER OF
ATTORNEY WITH
I Filing Date
First Named Inventor
24/2002
Mody. Apurva N.
NEW POWER OF ATTORNEY Art Unit 2616
ANO Examiner Name Mais, M.ark A.
CHANGE OF CORRESPONDENCE ADDRESS
\. Anorney Docket Number 20070033 ~
I herebv revoke all previous Dowers of attornev aiven In the above-identified aoolication.
0 A Power of Attorney Is submitted herewith.
OR
lliJ thereby appoint tile practitioners associated with the Customer Number: 22500
[!I Please change the correspondence address for the above-identified application to:
[iJ The address associated with 22500

Customer Number:
OR
D Firm or
Individual Name
A~drei:;s
City State Zip

Country
Telep/)OM Email
lam the:
0 Applicant/Inventor.
D
or Assignee of Record
Signature
Name
Date 603-885-3270
ml ol •he ontir$ int9res1 or their ret1r9semativets) are requ1r&e1. Subn-•! mu111i:i1e forrn• 11 0;<1rn th:.m """
·Toca• ol iom1s are autimil1ed.

11•1:1:1- w11.v..t•c.111~r11'L1"1111dbui. 1!. 1u4\Jiu:U lty 37 CFR. 1.30 Th1,: im\mm.11io111:J r~rJuired to obtain or retain a Ol3nsfn by tn~ puoltc wh1cn 1~ 10 me tano ny tnt: llSP70
to prm:rn:n>> ~m ~pplitAIH:'ln Confiaentlalily is {tOvema\1 oy 35 U.S.C. 122 ~nd 37 Cl'~ 1 11 ;:.n('I 1 14. Thi:: c.n!IQ't:tlnn i~ c~1imill~.rf '0 ttt!C~ 3 minute' to comp101v,
h'ICluamg gatne1111g, ~rej)ei"111g, ttrnl !:ubrliit1tng t1u1 1:nrniuemtl ttrtDii:.euW,,, form to tl"I~ USPTO. Time will varv dependu"t~ upoli !he 1r"ld1vidu~I c:a,~ 1 !'. Au)' t:ommen!.i
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tu"•d lrai:H:<11arh On1ce, \l.S D<~rntir1r.111 nl Crn11rru:r~~'· P n flo• 14~.(I. A1exa11<1na. VA 22313-·H50. 00 N01" SENll 1-E!:!; 01-( (.;t)MPLl:TE:::> HiRM5 TO THIS
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ApPl'Olled tor U$G through 09/30/2007. OMB 0651-0031
IJ.S. Patent and Tradem11rk Office; U.S Ot::PARTMENT OF COMMERCE
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STATEMENT UNDER 37 CFR 3.73fbl REGEIV D

CENTRAL FAX ENTER
Applicant/Patent Owner: _M:..:...:.o..:;d:.:::.Y..:•:......:A~p!:...u::.r:..v..:....=a_.;.;N.;.._..;;;a;.;:.;n;.:d;.. . . :S;..:t::..::u::..::b""'e""r-.. .•.....::;G..::;oc:r"'d:....:o:;..:n"-'L:;..:..•------------;:;-;;;---;;;
Application No./Patent No.: _."'""l0..../,_1_2_8~,._7_5_6_ _ _ Filed/Issue Date: 04/ 24 /2002

JUL 2 6 007
Entitled: Estimating Channel Parameters In Multi-Input. Multi-Output (MIMO) Systems
BAB Systems Information and Electronic
Systeros Integration lnc. .a _c_o_r......;...p_o_r_a_t_i_o_n___~~~----~-~-----
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half of the assignee. ~ .

--.....,...Q;li:~:'.UL..~ILL..~~~:_____ ~ rl&°L_~ 2B27
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Application Number 10/128. 756 UL 2 6 2007

For Estimat ng arameters n
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TO: 857_12738300 PAGE:01
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RECEIVED
CENTRAL FAX CENTER·
JUL 2 6 2007
[n Re Application of: Mody, et al. Group Art Unit: 2616
Serial No. 10/128,756 Examiner: Blunt, Steven
Filed: 4/24/02 Atty. Dkt. No: 062004-l 930
For: EstimaLing Channel Parameters In MuJti-Input, Multi-Output (MIMO) Systems
Dear Sir:
LEITER OF TRANSMlTTAL
Submitted herewith is a response to office correspondence dated l/26/07, consisting of

-1.!. pages of amendments and remarks, Statement Under 37 CFR 3.73(b); Revocation of Power
of Attorney With New Power of Arromey And Change of Correspondence Address; and a
Petition for Extension Of Time Under 37 CPR l.136(a).
DEPOSJT ACCOUNT 190130 AUTHORIZATION -The Office is hereby authorized co charge

rhe required fee. and any deficiency or credir any overpayment in lhe fees co the above deposit
account, owned by BAE SYSTEMS Information and Electronic Systems Integration Inc. an
authorized signacor for which is Kevin M. Perk.ins, V.P. & Company Counsel, and for whom the
undersigned are auchorized agents.
Respectfully submitted,
Customer No. 22500

Daniel J. Long, Reg. No. 29,404
Tel. No. (603) 885-2643. Fax. No. (603) 885-2167
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10/128,756 04/24/2002 Apurva N. Mody 062004-1930 7529
24504 7590 01126/2007

EXAMINER
THOMAS, KAYDEN, HORSTEMEYER & RISLEY, LLP
100 GALLERIA PARKWAY, NW BLOUNT, STEVEN
STE 1750
ART UNIT PAPER NUMBER
2616
SHORTENED STATUTORY PERIOD OF RESPONSE MAIL DATE DELIVERY MODE
3 MONTHS 01/26/2007 PAPER
Please find below and/or attached an Office communication concerning this application or proceeding.
If NO period for reply is specified above, the maximum statutory period will apply and will expire 6 MONTHS
from the mailing date of this communication.
PTOL-90A (Rev. 10/06)

10/128,756 MODYE.TAL.
Office Action Summary Examiner Art Unit
Steven Blount 2616
•• The MAILING DA TE of this communication appears on the cover sheet with the correspondence address ••
Period for Reply
A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE J. MONTH(S) OR THIRTY (30) DAYS,
WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.
- Extensions of time may be available under the provisions of 37 CFR 1.136(a). In no event, however, may a reply be timely filed
after SIX (6) MONTHS from the mailing date of this communication.
- If NO period for reply Is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communicatign.
- Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133). ·
Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
earned patent term adjustment. See 37 CFR 1. 704(b).
Status
1)[8] Responsive to communication(s) filed on 08 November 2006.
2a)K This action is FINAL. 2b)111 This action is non-final.
3)0 Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
closed in accordance with the practice under Ex parte Quayle, 1935 C.D. 11, 453 0.G. 213.
Disposition of Claims
4)[8] Claim(s) 41-80 is/are pending in the application.
4a) Of the above claim(s) _ _ is/are withdrawn from consideration.
5)0 Claim(s) _ _ is/are allowed.
6)[8] Claim(s) 41 - 50. 52 - 61. 63 - 69. 73 78 - 80 is/are rejected.
7)[8] Claim(s) 51. 62. 70 - 72. 74 - 77 is/are objected to.
8)0 Claim(s) _ _ are subject to restriction and/or election requirement.
Application Papers
9)0 The specification is objected to by the Examiner.
10)0 The drawing(s) filed on _ _ is/are: a)O accepted or b)O objected to by the Examiner.
Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
Replacement drawing sheet(s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 (d) .
. 11 )0 The oath or declaration is objected to by t~e Examiner. Note the attached Office Action or form PT0-152.
Priority under 35 U.S.C. § 119

12)0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
a)D All b)D Some* c)O None of:
1.0 Certified copies of the priority documents have been received.
2.0 Certified copies of the priority documents have been received in Application No. _ _ .
3.0 Copies of the certified copies of the priority documents have been received in this National Stage
application from the International Bureau (PCT Rule 17.2(a)).
*See the attached detailed Office action for a list of the certified copies not received.
Attachment(s)
1) [8] Notice of References Cited (PT0-892) 4) 0 Interview Summary (PT0-413)
2) 0 Notice of Draftsperson's Patent Drawing Review (PT0-948) Paper No(s)/Mail Date. _ _ .
3) 0 Information Disclosure Statement(s) (PTO/SB/08) 5) 0 Notice of Informal Patent Application
Paper No(s)/Mail Date _ _ . 6) 0 Other: _ _.
U.S. Patent and Trademar1< Office
PTOL-326 (Rev. 08-06) Office Action Summary Part of Paper No./Mail Date 20070121

Application/Control Number: 10/128, 756 Page 2
Art Unit: 2616
DETAILED ACTION
Drawings
1. New drawings in compliance with 37 CFR 1.121 (d} are required in this
application because figure 13 is missing. Applicant is advised to employ the services of
a competent patent draftsperson outside the Office, as the U.S. Patent and Trademark
Office no longer prepares new drawings. The corrected drawings are required in reply to
the Office action to avoid abandonment of the application. The requirement for
corrected drawings will not be held in abeyance.
Claim Rejections - 35 USC § 112
2. The following is a quotation of the second paragraph of 35 U.S.C. 112:
The specification shall conclude with one or more claims particularly pointing out and distinctly
claiming the subject matter which the applicant regards as his invention.
3. Claim 52 is rejected under 35 U.S.C. 112, second paragraph, as being indefinite
for failing to particularly point out and distinctly claim the subject matter which applicant
regards as the invention.
In claim 52, "sequences given by NG et al" is indefinite.
Claim Rejections - 35 USC§ 103
4. Claims 53 - 54, 56 - 61, 63 - 69, 73, 78 - 80 are rejected under 35 U.S.C.
103(a} as being unpatentable over U.S. patent 6,850,481 to Wu et al in view of U.S.
patent 7 ,010,029 to Naquib et al.
With regard to claim 53, Wu et al teach an OFDM system comprising an encoder
102, OFDM modulators 104 which produce frames including data symbols (col 5 line 8),
training symbols (col 9 lines 38+}, cyclic prefixes (col 1 lines 53+), receiving antennas

Art Unit: 2616
(202 et al at the receiver), and both time and frequency synchronization means (col 5
lines 1O+ and col 7 lines 55+ ). Wu et al teach estimating channel parameters using both
a form of channel coefficient matrix (col 9 lines 6+) and a type of frequency correlation
(see col 7 lines 35+ and col 9 lines 1+). However, in Wu et al it is not explicitly stated
that the decoder performs this function. In Naquib et al, this process is performed
through the use of a decoder. See col 6 lines 35 to 60.
It would have been obvious to one of ordinary skill in the art at the time of the
invention to have used a decoder to perform estimation of the channel parameters of
Wu et al in light of the teachings of Naquib et al in order to provide an efficient means
for estimating the channel parameters.
With regard to the following claims, note the following: Cl 54: Wu is a MIMO
system. Cl 56: see discussion of Naquib and note member 19. Cl 57: see cited portions
of Wu and Naquib above. Cl 58 - 60: note these are all well known approximation
techniques which would be used to minimize the metric function of Naquib. Cl 61: It
would have been obvious to use unused tones in order to optimize the complexity of the
.. calculation. Cl 63: see discussion above, including time and frequency domain
synchronization means. Cl 64 - 66: see rejections above. Cl 67 - 68: see rejections
above and note again that mean squared error is a well known functional
approximation. Cl 69: see use of FFT in modules 214 et al and note the use of IFFT
would be obvious in view of this. Cl 73: see col 7 lines 55+ of Wu et al. Cl 78: solving
linear equations is a well known technique for estimating channel parameters. Cl 79 -

Application/Control Number: 10/128, 756 Page4
Art Unit: 2616
80: the number of training symbols would be an obvious matter of design choice well
within the level or ordinary skill in the art.
5. Claims 41 -45, 47 - 50, and 52 are rejected under 35 U.S.C. 103(a) as being
unpatentable over U.S. patent 6,850,481 to Wu et al in view of U.S. patent 6,058, 105 to
Hochwald et al.
With regard to claim 41, Wu et al teach an OFDM system comprising an encoder
102, OFDM modulators 104 which produce frames including data symbols (col 5 line 8),
training symbols (col 9 lines 38+), cyclic prefixes (col 1 lines 53+), and receiving
antennas (202 et al at the receiver). Wu et al does not however teach each training
sequence to be adjusted to have a substantially constant amplitude in the time domain
(as defined by applicant, this comprises the use of a unitary matrix - see page 21 of the
specification). This is taught in col 2 lines 13+, col 2 lines 37+, col 4 lines 23+ and lines
60+ of Hochwald et al. See also col 8 lines 13+ of Hochwald et al.
invention to have provided Wu et al with a training sequence which is adjusted to have a
substantially constant amplitude in the time domain in light of the teachings of Hochwald
et al in order to provide a means for improved parameter estimation.
With regard to claims 42 - 43, MIMO is discussed as above. With regard to claim
44, the purpose of cyclic prefixes is to prevent ISi. With regard to claim 45, see
multiplexer 105 (space-time processor), col 6 lines 25+ (pilot symbols and character
symbols). With regard to claim 47, the data of Wu et al would be obvious to transmit in
blocks. With regard to claim 48, see discussion of the unitary matrix in Hochwald. With

Application/Control Number: 10/128, 756 / Page 5
Art Unit: 2616
regard to claim 49, the training sequence is adjustable in Wu et al. With regard to claim
50, it would be obvious to use alternate tones in order to optimize system bandwidth.
With regard to claim 52, Official Notice is taken that training sequences are formed
using chirp-like sequences. One would have been motivated to use these types of
sequences in view of the fact that they have good aut.ocorrelation properties, and their
frequency invariance would allow them to be useful in signal processing of the OFDM
signals due to the fact that the original signal is substantially unmodified after
transmission.
6. Claim 55 is rejected under 35 U.S.C. 103(a) as being unpatentable over U.S.
patent 6,850,481 to Wu et al in view of U.S. patent 7,010,029 to Naquib et al and U.S.
patent 6,029,058 to Namgoong et al.
Wu et al teach the invention as described above with respect to claim 53, but do
not teach a local oscillator, mixer, or amplifier. These are all taught in figure 2 of
Namgoong et al.
invention to have provided Wu et al with a local oscillator, mixer, or amplifier in light of
the teachings of Namgoong et al in order to be able to boost the signal frequency and
thus avoid interference.
7. Claim 46 is rejected under 35 U.S.C. 103(a) as being unpatentable over U.S.
patent 6,850,481 to Wu et al in view of U.S. patent 6,058, 105 to Hochwald et al and
U.S. patent 6,029,058 to Namgoong et al.

Art Unit: 2616
Wu et al/Hochwald et al teach the invention as described above with respect to
claim 41, but do not teach the use of a local oscillator, mixer, or amplifier. These are all
taught in figure 2 of Namgoong et al.
invention to have provided Wu et al/Hochwald et al with a local oscillator, mixer, or
amplifier in light of the teachings of Namgoong et al in order to be able to boost the
signal frequency and thus avoid interference.
8. Claims 51, 62, and 70 - 72 and 74 - 77 objected to as being dependent upon a
rejected base claim, but would be allowable if rewritten to include the limitations of the
base claim and any intervening claims.
Conclusion
9. Applicant's amendment necessitated the new ground(s) of rejection presented in
this Office action. Accordingly, THIS ACTION IS MADE FINAL. See MPEP
§ 706.07(a). Applicant is reminded of the extension of time policy as set forth in 37
CFR 1.136(a).
A shortened statutory period for reply to this final action is set to expire THREE
MONTHS from the mailing date of this action. In the event a first reply is filed within
TWO MONTHS of the mailing date of this final action and the advisory action is not
mailed until after the end. of the THREE-MONTH shortened statutory period, then the
shortened statutory period will expire on the date the advisory action is mailed, and any
extension fee pursuant to 37 CFR 1.136(a) will be calculated from the mailing date of

Art Unit: 2616
the advisory action. In no event, however, will the statutory period for reply expire later
than SIX MONTHS from the date of this final action.
10. Any inquiry concerning this communication or earlier communications from the
examiner should be directed to Steven Blount whose telephone number is 703-305-
0319. The examiner can normally be reached on M-F 9:00 - 5:30.
If attempts to reach the examiner by telephone are unsuccessful, the examiner's
supervisor, Ms. Doris To, can be reached on 571 - 272 - 7629. The fax phone number
for the organization where this application or proceeding is assigned is 703-872-9306.
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SB
1/21/06
OOR\S H.TO
SUPERV\SORY PATENT EXAM\NER
TECHNOLOGY CENTER 2600

Reexamination
10/128,756 MODY ET AL.
Examiner Art Unit
Page 1of1
Steven Blount 2616
* Country Code-Number-Kind Code MM-YYYY Name Classification
* A US-6,029,058 02-2000 Namgoong et al. 455/324
* B US-6,058, 105 05-2000 Hochwald et al. 370/310

* c US-6,850,481 02-2005 Wu etal. 370/208
* D US-7,010,029 03-2006 Naguib et al. 375/229
* E US-7, 133,459 11-2006 Onggosanusi et al. 375/267
* F US-2002/0122381 09-2002 Wu etal. 370/208

G US-
H US-
I US-
J US-
K US-
L US-
M US-
* Country Code-Number-Kind Code MM-YYYY Country Name Classification
0
p
a
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s
T
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.
*A copy of this reference 1s not being furnished with this Office action. (See MPEP § 707.05(a).)

Search Notes Reexamination
10/128,756 MODY ET AL.
111111 11 111 I Ill III I Examiner
Steven Blount
Art Unit
2616
SEARCH NOTES
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INTERFERENCE SEARCHED

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10/128,756 MODY ET AL.
Examiner Art Unit
111 111 11 111 Steven Blount 2616
(Through numeral)
../ Rejected - Cancelled N Non-Elected A
Appeal
= Allowed + Restricted I Interference 0 Objected
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12 62 112
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23 73 123
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To: Page 1 of 7 2006-11-08 19:37:30 (GMT) 14046019667 From: Mary Kilgore
AEOllVED
CENTRAL PAX CENTER
NOV 0 8 2006
CERTIFICATE OF FACSIMILE TRANSMISSION
UNDER 37 CFR §1.8
I hereby certify that this paper (along with. any paper referred to as being attached
I
., or enclosed) is being transmitted on the date indicated below via fa.csirni1e to the United
I States Patent and Trademark. Office, facsimile number (571)-273-8300.
Mary N. gore
App. No.: 10/128,756 Art Unit: 2664
Applicants: Mody et al. Examiner: Fox, Jamal A.
Filed: April24,2002 Confirmation No.: 7529
Title: ESTIMATING CHANNEL Docket No.: 062004-1930

PARA.METERS IN MULTI-INPUT,
MULTI-OUTPUT (MIMO) SYSTEMS
Supplemental Response to Office Action - S pages

Amendment Transmittal Letter - l page
. .. . ·~ .
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To: Page 2of7 2006-11..08 19:37:30 (GMT) 14046019667 From: Mary Kilgore
RECEIVED
CENTRAL FAX CENTER
NOV 08 2006
AMENDMENT TRANSMITTAL LETTER (LARGE) Docket No.
Appllcant(s): Mody et al. 62004-1930
Serial No. Fiiing Date Examiner Confirmation No. Group Art Unit
10/128.756 April 24, 2002 Fox, Jamal A. 7529 2664
Invention: Estimating Channel Parameters In MuHl-lnput. Multi-Output (MIMO) Systems

Mail Stop Amendment
P.O. Box 1450
Alexandria VA 22313-1450
Transmitted herewith Is a Supplemental Response to Office Action in the above-identlfled application.
The fee has been calculated and is transmitted as shown below
CLAIMS AS AMENDED
CLAIMS REMAINING HIGHEST# NUMBER EXTRA . ADDITIONAL

AFTER AMENDMENT PREV. PAID FOR CLAIMS PRESENT RATE FEE
TOTAL CLAIMS 40 - 40 = 0 x $50.00 $0

INDEP. CLAIMS 3 - 3 = 0 x $200.00 $0
Multiple Dependent Claims (check if applicable) U $360.00 $0
EXTENSION FEE 1:.• MONTH 0 2"-MONTH U 3"-MONTH U 4mMQNTH D $0
$120.00 $450.00 $1,020.00 $1,590.00
Other Fees: $0
TOTAL ADDITIONAL FEE FOR THIS AMENDMENT $0
I&'! No additional fee is required.

0 Please charge Deposit Account No. 20-0778 in the amount of 20-0778. A duplicate copy of this page is enclosed.
0 A check in the amount of to cover the filing fee is enclosed.
D A Credit Card Payment Form PT0-2038 is attached in the amount of$ .
I&'! The Director Is hereby authorized to charge any deficiencies of the above fees or credit any overpayment to Deposit
Account No. 20-0778.
··~-~,~· Li/b foe:.

Glenn w:-rown, Reg. No. 51,310 Date

RECEIVED
CENTRAL FAX CENTER
NOV 0 8 2006
IN THE UNITED STATES PATENT AND TRADEMARK. OFFICE
App. No.: 10/128,756 Art Unit: 2616
Applicants: Mody et al. Examiner. Blount, Steven
Filed: April 24, 2002 Confirmation No.: 7529
,• Title: ESTIMATING CHANNEL Docket No.: 062004-1930

.I PARAMETERS IN MULTI-1NPUT,
MULTI-OlITPUT (MIMO) SYSTEMS
Mail Stop: Amendment

P.O. Box 1450
SUPPLEMENTAL RESPONSE TO OFFICE ACTION
Sir:
In the Office Action mailed October 17~ 2006, it was suggested that Applicants' reply
of July 7, 2006 was not fully responsive. Particularly, the section containing the Remarks·
was deemed to be non-compliant with 37 CFR l.111 (b) for not pointing out how the new
claims are patentably distinguishable from the previously appli~d references. In te!.'Ponse Lo
the Office Action, Applicants submit the corrected Remarks section. which is attached hereto.
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REOlilV!O
CENTRAL FIAX C!NT!R
NOV 0 8 2006 App. No.: 101128,756
Art Unil: 2664
.·1
REMARKS
In the foregoing amendments, claims 1-40 are canceled without prejudice, disclaimer,
or waiver; and claims 41-80 are added. Claims 41-80 are now pending in the present
application.
I L Indication of Allowable Subject Matter

Applicants wish to thank the Examiner for indicating the presence of allowable
subject matter. Particularly, claims 17, 18, 29, and 31 have.been indicated as being allowable
if re-written to overcome the rejections under 35 U.S.C. 112, second paragraph and to include
the subject matter of the base claim and any intervening claims.
Il. Response to Claim Objection

The Office Action objected to claim 18 because of a misspelled word. Since claim 18
has been canceled, this objection is rendered moot. It is believed that new claim 62, which
substantially corresponds to original claim 18, does not include the misspelled word and is
clear and definite.
m. Response to 35 U.S.C. §112. Second Paragraph Rejection

The Office Action rejected claims 1-18, 25, 2~, 29-31, and 37 under 35 U.S.C. §112,
second paragraph, as being indefinite. Particularly, the Office Action indicated that the
antecedent basis for various terms is insufficient. Since these claims have been canceled.,
these rejections are rendered moot. It is believed that the new claims are clear and definite,
and that they provide proper antecedent basis for each of the elements.
IV. Response to 35 U.S.C. §102 Reiection

Claims 1-15 and 19-28 were rejected under 35 U.S.C. §102(e) as allegedly being
anticipated by Ma et al. (U.S. Patent Application Publication No. 2002/0041635). In addition,
claims 38-40 were rejected under 35 U.S.C. §102(e) as allegedly being anticipated by Kadous
(U.S. Patent No. 6,996, 195). Applicants respectfully traverse these rejections. However, since
• . ·-r·---- •--·· •··--·· .-.. ··----··- ••• • ··-·-·- . .•

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To: Page 5 of 7 2006-11·08 19:37:30 (GMT) 14046019667 From: Mary Kilgore
App. No.: 101128,7'6

Ari Unit: 2664
these claims have been canceled to provide new claims that more clearly define the aspects of
the present application., the rejections are rendered moot.
·1
j v. Response to 35 U.S.C. §103 Reiection

I Claim 16 was rejected under 35 U.S.C. §103(a) as allegedly being unpatentable over
Ma et al. in view of Ho et al. (U.S. Patent No. 6,148.024). In addition., claims 30 and 32-37
were rejected under 35 U.S.C. § 103(a) as allegedly being unpatentable over Ma et al. in view
of Kadous. Applicants respectfully traverse these rejections. However, since these claims
have been canceled, the rejections are rendered moot.
VI. New Claims

Claims 41-80 have been newly added in the present application to clearly define the
features of the disclosure. It is believed that the cited references of record fail to teach or
suggest ea.ch and every feature of the claims, as discussed below.
A. Claims 41-52
I:ndependent claim 41 is directed to a transmitter in an OFDM system. The
transmitter includes, among other things, one or more OFDM modulators, each OFDM
modulator configured to produce a frame including a plurality of data gymbols, a training
structure, and c;yclic prefixes inserted among the data symbols. Also, the training
structure of each frame includes a predetermined signal transmission matrix at a
respective sub-channel, each training structure adjusted to have a substantially constant
amplitude in a time domain. The cited references fail to teach or suggest these features of
claim 41. For at least this reason, it is believed that independent claim 41 is allowable over
the cited references. Also, claims 42-52 are believed to be allowable for at least the reason
that they depend directly or indirectly from allowable claim 41.
B. Claims 53-§2
Independent claim 53 is directed to a receiver in an OFDM system. The receiver
includes, among other things, one or more receiving antennas each configured to receive a
.. .··----·· ·--- . ·----··-··· ··-···-~ -·-----------

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To: Page 6 of 7 2006-11-08 19:37:30 (GMT) 14046019667 Fror:n: Mary Kilgore
App. No.: 101128,756

Art UniJ: 2664
'I
j frame across a channel, each frame including a pluralizy of data symbols, training symbols,
I
and cyclic pref1x.es inserted among the data and training symbols. The receiver also
includes one or more OFDM demodulators, each OFDM demodulator con.figured to provide
:ii
time synchroniz.ation and frequency synchronization. Furthermore, the receiver includes a
decoder configured to estimate the parameters of the channel by a process involving one of
calculating a channel coefficient matrix, calculating a signal to noise ratio, calculating a
noise variance, calculating a time correlatU>n, and calculating a frequency corNlation.
The cited references fail to teach or suggest these features of claim 53. For at least this
reason. it is believed that independent claim 53 is allowable over the cited references. Also,
claims 54-62 are believed to be allowable for at least the reason that they depend directly or
indirectly from allowable claim 53.
C. Claims 63-80
Independent claim 63 is a method claim including. among other things, receiving one
or more frames across a channel, each frame including a plurality of data symbols, training
symbols, and cyclic prefixes i.nserted among the data and trabring symbols. The method
also includes synchronizing the one or more frames in a time domain and synchronizing
the one or more frames in a frequency domain. The method also includes e8timating
parameters of the channel by a process involving one of calculating a channel coefficient
matrix, calculating a signal to noise ratio, calculating a noise variance, calculating a time
co"elation, and calculating o. frequency co"elation. The cited references fail to teach or
suggest these features of claim 63. For at least this reason, it is believed that independent
claim 63 is allowable over the cited references. Also, claims 64-80 are believed to be
allowable for at least the reason that they depend directly or indirectly from allowable claim
63.
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To: Page 7 of7 2006-11-08 19:37:30 (GMT) AECEIVED 14046019667 From: Mary Kilgore
CENTRAL FAX CENTER

NOV 0 8 2006 App. No.: 10/128,7$6
. Art Untt: 2664
·.I CONCLUSION
In light of the foregoing amendments and for at least the reasons set forth above,
·I
...i
I
Applicants respectfully submit that all objections and/or rejections have been traversed,
rendered moot~ and/or accommodated, and that the now pending claims 41-80 are in
condition for allowance. Favorable reconsideration and allowance of the present application
and all pending claims are hereby courteously requested. If, in the opinion of the Examiner, a
telephonic conference would expedite the examination of this matter, the Examiner is invited to
call the undersigned at (770) 933-9500.
.I
~J
I
I
~{.A. •. 1'7~
Glenn W. Brown
Reg. No. 51,310
THOMAS, KAYDEN,
HORSTEMEYER & RISLEY, L.L.P.
Suite 1750
I 00 Galleria Parkway N.W.
Atlanta, Georgia 30339
(770) 933-9500
.. .. - ................. -,·-.--........ · .. -··-. . . ·-··-r···.···· . .

~... r ..·· -· -·. • . ................ _ ...,,- ........ _
·~-. .. _.,._., .
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Address: COMMISSIONER FOR PA TENTS
P.O. Box 1450 :
Alexandria, Virginia 22313-145P
www.uspto.gov
APPLICATION NO. FILI!"GDATE FIRST NAMED INVENTOR ATTORNEY DOCKET NO. CQNFIRMATION NO.
10/128,756 04/24/2002 Apurva N. Mody 062004-1930 7529
24504 7590 1011712006 EXAMINER·
THOMAS, KAYDEN, HORSTEMEYER & RISLEY, LLP BLOUNT, STEVEN

STE 1750 ART UNIT PAPER NUMBER
ATLANTA, GA 30339-5948 2616
DATE MAILED: 10117/2006
PT0-90C (Rev. 10/03)

Art Unit: 2616
DETAILED ACTION
1. The reply filed on 717106 is not fully responsive to the prior Office Action because
of-the following omission(s) or matter(s):
Applicant has not complied with 37 CFR 1.111 (b) by pointing out how the new
claims are patentably distinguishable from the previously applied references. Since the
above-mentioned reply appears to be bona fide, applicant is given ONE (1) MONTH or
THIRTY (30) DAYS from the mailing date of this notice, whichever is longer, within
which to supply the omission or correction in order to avoid abandonme.nt.
EXTENSIONS OF THIS TIME PERIOD MAY BE GRANTED UNDER 37 CFR 1.136(a).
examiner should be directed to Steven Blount whose telephone. number is 571-272'-
3071. The examiner can normally be reached on M-F 9:00 - 5:30.
supervisor, Ms. Doris To, can be reached on 571 - 272 - 7629. The fax phone number
for the organization where this application or proceeding is assigned is 571-273-8300.

Art Unit: 2616
Information regarding the status of an application may be obtained from the
Patent Application Information Retrieval (PAIR) system. Status information for .
published applications may be obtained from either Private PAIR or Public PAIR.
Status information for unpublished applications is available through Private PAIR only.
For more information about the PAIR system, see http://pair-direct.uspto.gov. Should
you have questions on access to the Private PAIR system, contact the Electronic
Business Center (EBC) at 866-217-9197 (toll-free).
DORIS H. TO
SUPERVISORY PATENT EXAMINER
TECHNOLOGY CENTER 2600
SB
10/11/06

RECEIVEe
CENTRAL FAX ef!NrfEiii
JUL 0 7 2006·
IN THE UNITED STATES PATENT AND TRADEI\1AIUC OFF1CE
App. No.: 10/128,756 Art Unit: 2664
Applicanls: Mody et al. Examiner: Fox, Jamal A.
Filed: April 24, 2002 Confirmation No.: 7529
Title: ESTIMATING CHANNEL DocketNo.: 062004-1930

PARAMETERS IN MULTI-WPlIT,
l\1ULTI-OUTPUT (MIMO) SYSTEMS
Mail Stop: Amendment

P.O. Box 1450
FIRST RESPONSE (WITH AMENDMENTS)
Sir:
The outstanding non-final Office Action mailed March 8, 2006 has been received. fu
response thereto, please enter and consider the following:
1) Amendments to the Specification (starting on p. 2 ofthis document);
2) Amendments to the Claims (starting on p. 4 of this document); and
3) Remarks (starting on p. 16 of this document).
Reconsideration and allowance of the application and presently pending claims, as
amended, are respectfully requested.
AUTHORIZATION TO DEBIT ACCOUNT

It is believed that no extensions of time or fees for net addition of claims are required,
beyond those which may otherwise be provided for in documents accompanying this paper.
However, in the event that additional extensions of time are necessary to allow consideration of
this paper, such extensions are hereby petitioned under 37 C.F.R. § 1.136(a), and any fees
required therefor (including fees for net addition of claims) are hereby authorized to be charged
to deposit account no. 20-0778.
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App. No.: 101128.756

Art Un//: 2664
AMENDMENTS TO THE SPECIFICATION

.
Please amend the specification as indicated hereafter. lt is believed that the following
amendments and additions add no new matter to the present application.
Please replace the paragraph starting on p. 2, line 1 S, with the following amended
paragraph:
In typical communication systems, training symbols, or preamble preambles, at the
beginning of data frames, are usually added as a prefix to the data symbols. The data
symbols, of course, include the useful data or information (e.g., voice, data, video, etc.),
which is meant to be transmitted to a remote location. The training symbols in SISO systems
are used to provide synchronization of the received signals with respect to the transmitted
signals, as well as to provide channel parameter estimation.
Please replace the paragraph starting on p. 11, line 18, with the following amended
paragraph:
Furthermore, the training symbols may be used as specific types of calibration values
for calibrating particular channel parameters. By initially estimating these channel
parameters, offsets in the time domain and frequency domain may be accounted for so as to
calibrate the communication system 6. The training sequence may or may not bypass an
Inverse Discrete Fourier Transform (IDFT} stage 38, which is a part of the embodiment of the
OFDM modulator 16 of FIG. 3. A training sequence that bypasses the IDFT stage 38 and is
directly input into a digital to analog converter (DAC) 44 is referred to herein as a directly
modulatable training sequence. Examples of such training sequences may be "chirp-like"
sequences. These sequences cover each portion of the bandwidth used by the commwrication
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App. No.: 101128.756

An Unil: 2664
system 6. Hence, channel response can be easily detennined. In general, a chirp sequence in
the time domain is given by the equation:
s" =co{: 2
) +)sin( :
2
} n = 0,1,K , N -1,
where j is given by J::J and is used to denote the quadrature component of the signal. It
should be noted that the term Sn refers to a time domain signal on the side of the transmitter 8.
Frequency domain signals on the transmitter side will hereinafter be referenced by capital
letters Sk. Time and frequency domain signals on the receiver side will hereinafter be written
as rn and Rk. respectively. The space-time or the space-frequency training structure may be
formed using ch.iro or chiro-Hke sequences. Some of the -Gther modifications of the chirp-
like sequence may be Frank-Zadoff sequences, Chu sequences, Milewski sequences, Suehiro
polyphase sequences, and sequences given by Ng et al. By observing the response of the
receiver 10 to the chirp signals, the channel parameters may be estimated.
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To: Page 7 of21 2006-07-07 15:07:00 (GMT) 14046019667 From: Mary Kilgore
App. No.: 101128,756

Ari Unit: 2664
AMENDMENTS TO THE CLAIMS

Please replace all prior versions of the claims with the following claim listing:
Claims:
1-40. (Canceled)
41. (New) A transmitter in an Orthogonal Frequency Division Multiplexing
(OFDM) system, the transmitter comprising:
an encoder configured to process data to be transmitted within the OFDM system, the
encoder further configured to separate the data onto one or more transmit diversity branches
(TDBs);
one or more OFDM modulators, each OFDM modulator connected to a respective
TDB, each OFDM modulator configured to produce a frame including a plurality of data
symbols, a training structure, and cyclic prefixes inserted among the data symbols; and
one or more transmitting antennas in communication with the one or more OFDM
modulators .• respectively, each transmitting anterma configured to transmit the respective
frame over a channel;
wherein the training structure of each frame includes a predetermined signal
transmission matrix at a respective sub-channel, each training structure adjusted to have a
substantially constant amplitude in a time domain.
42. (New) The transmitter of claim 41, wherein the transmitter is incorporated
within a Multi-hlput, Multi-Output (MIMO) system.
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App. No.· 101128,756

Art Un.it: 2664.
43. (New) The transmitter of claim 42, wherein the training structure includes
information allowing a receiver device to perform synchronization and parameter estimation
for calibrating the MTh10 system.
44. (New) The transmitter of claim 41, wherein the cyclic prefixes protect the data
symbols against Inter Symbol Interference (!SI).
45. (New) The transmitter of claim 41, wherein the encoder comprises:
a channel encoder~
a symbol mapper in communication with an output of the channel encoder;
a space-time processor in commWlication with an output of the symbol mapper, the
space-time processor configured to separate the data into the one or more TDBs; and
a pi1ot/training symbol inse1ter, the pilot/training symbo] inserter configured to insert
pilot symbols and training symbols onto the TDBs.
46. (New) The transmitter of claim 41, wherein each of the OFDM modulators
comprises:
a serial-to-parallel converter;
an inverse discrete Fourier transform (IDFT) stage in communication with an output
of the serial-to-parallel converter;
a cyclic prefix inserter in communication with an output of the IDFT stage;
a parallel-to-serial converter in communication with an output of the cyclic prefix
inserter;
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To: Page9of21 2006-07-07 15:07:00 (GMT) 14046019667 From: Mary Kilgore
App. No.: 101128,756

Art Unit: 2664
a digital-to-analog converter (DAC) in communication with an output of the parallel-
to-serial converter;
a local oscillator;
a mixer having a first input and a second input, the first input in communication with
an output of the DAC, the second input in communication with an output of the local
oscillator; and
an amplifier in communication with an output of the mixer.
47. (New) The transmitter of claim 41, wherein the training structure includes a
signal transmission matrix resembling an existing space-time block code.
48. (New) The transmitter of claim 41, wherein the training structure includes a
signal transmission matrix having an existing pseudo inverse matrix.
49. (New) The transmitter of claim 41, wherein a length of the training structure is
adjustable.
50. (New) The transmitter ofclaim 41, wherein a length of the training structure is
equal to a single OFDM symbol using alternate tones transmitted from different antennas at
substantially the same time.
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App. No.: 101128,756

Art Unii: 2664
51. (New) The transmitter of claim 41, wherein the cyclic prefixes ace further
inserted within the training symbol, and wherein the cyclic prefixes within the training
symbol are longer than the cyclic prefixes among the data symbols, thereby countering an
extended chaooel impulse response and improving synchronization performance.
52. (New) The transmitter of claim 41, wherein the training structure is formed
using chirp or chirp-like sequences including one or more ofFrank-Zad.offsequences, Chu
sequences, Milewski sequences, Suehiro polyphase sequences, and sequences given by Ng et
al.
53. (New) A receiver in an Orthogonal Frequency Division Multiplexing (OFDM)
system, the receiver comprising:
one or more receiving antennas, each receiving antenna configured to receive a frame
across a channel from one or more transmitting antennas, each frame including a plurality of
data symbols, training symbols, and cyclic prefixes inserted among the data and training
symbols;
one or more OFDM demodulators, each OFDM demodulator in communication with
a respective receiving antenna, each OFDM demodulator configured to proVide time
synchronization and frequency synchronization; and
a decoder configured to receive one or more demodulated frames from the one or
more OFDM demodulators, the decoder further configured to estimate the parameters of the
channel by a process involving one of calculating a channel coefficient matrix, calculating a
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App. No.: 101128,756

Art Unit: 2664
signal to noise ratio, calculating a noise variance, calculating a time correlation, and
calculating a frequency correlation.
54. (New) The receiver of claim 53, wherein the receiver is incorporated within a
Multi-Input, Multi-Output (MIMO) system.
55. (New) The receiver of claim 53, wherein each of the one or more OFDM
demodulators comprises:
a pre-amplifier;
a local oscillator;
a mixer having a first input and a second input, the first input in communication with
an output of the pre-amplifier, the second input in communication with an output of the local
oscillator;
an analog-to-digital converter (ADC) in communication with an output of the mixer;
a synchronization circuit having a first input in communication with an output of the
ADC;
a cyclic prefix remover in communication with an output of the synchronization
circuit;
a serial-to-parallel converter in communication with an ou_tput of the cyclic prefix
remover; and
a discrete Fourier transform (DFr) stage in communication with an output of the
serial-to-parallel converter, an output of the DFT stage in communication with a second input
of the synchronization circuit.
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App. No.: 101118.756

Arr Unit: 2664
56. (New) The receiver of claim 53, wherein the decoder includes an estimating
circuit configured to estimate the parameters of the channel.
57. (New) The receiver of claim 56, wherein the estimating circuit is configured to
calculate coarse channel estimates.
calculate coarse channel estimates using one of a zero-forcing method and a least squares
method.
59. (New) The receiver of claim 57, wherein the estimating circuit is further
configured to reduce a mean square error of the coarse channel estimates.
interpolate and/or extrapolate values in a frequency domain.
zero-pad or discard unused tones.
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App. No.: 101128,756

Art Unir: 2664
62. (New) The receiver of claim 53, wherein the decoder comprises:
a space-time processor having a first set of inputs, a second set of inputs, and an
output, wherein the first set of inputs is configured to receive samples from each of the one or
more OFDM demodulators;
an estimating circuit configured to estimate the parameters of the channel, the
estimating circuit having a first set of inputs, a second input, a first set of outputs, and a
second output, wherein the first set of inputs is configured to receive samples from each of the
one or more OFDM demodulators, and the first set of outputs is in communication with the
second set of inputs of the space~time processor;
a parallel-to-serial converter in communication with the output from the space-time
processor;
a symbol demapper having a first input, a second input, a third input, and an output,
wherein the first inpl..lt is in communication with the output of the parallel-to-serial converter,
the second input is in communication with the second output of the estimating circuit; and
a channel decoder having an input, a first feedback output, and a second feedback
output, wherein the input is in communication with the output of the symbol demapper, the
first feedback output is in communication with the thj.rd input of the symbol dernapper, and
the second feedback output is in communication with the second input of the estimating
circuit.
10
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App. No.: 101118.756

Art Unit: 26154
63. (New) A method comprising:
receiving one or more frames across a channel from one or more transmitting
antennas, each frame including a plurality of data symbols, training symbols, and cyclic
prefixes inserted among the data and training symbols;
synchronizing the one or more received frames in a time domain;
synchronizing the one or more received frames in a frequency domain; and
estimating parameters of the channel by a process involving one of calculating a
channel coefficient matrix, calculating a signal to noise ratio, calculating a noise variance,
calculating a time correlation. and calculating a frequency correlation.
64. (New) The method of claim 63, wherein the one or more frames are
transmitted in a Multi-Input, Multi-Output (Ml.MO) Orthogonal Frequency Division
Multiplexing (OFDM) system.
65. (New) The method of claim 64, further comprising:
maintaining 011hogonality by making a space-time matrix of the training symbols at
each sub-carrier frequency orthogonal or unitary.
66. (New) The method of claim 63, wherein estimating the parameters of the
channel further comprises calculating fine channel estimates.
11
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To: Page15of21 2006-07-07 15:07:00 (GMT) 14046019667 From: Mary Kilgore
App. No.: /()/118,756

Art Unit: 2664
67. (New) The method of claim 66, wherein calculating fine channel estimates
comprises:
calculating coarse channel estimates;
interpolating the coarse channel estimates in the frequency domain; and
reducing a mean squared error of the coarse channel estimates.
68. (New) The method of claim 67, wherein calculating coarse channel estimates
comprises calculating coarse channel estimates by performing a least squares method or a
zero-forcing method.
69. (New) The method of claim 67, wherein reducing the mean squared error
comprises:
performing an IDFT operation on the coarse channel estimates to convert the coarse
channel estimates to the time domain;
performing a windowing operation; and
performing a Fast Fourier Transform (FFT) operation.
comprises at least one of a linear prediction procedure, a procedure for averaging the coarse
channel estimates in the .frequency domain, a procedure for averaging the coarse channel
estimates in the time domain, a procedure for utilizing a decision feedback equalizer, a
decision directed procedure, a procedure utilizing feedback from a channel decoder, a
12
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App. No.: !01128,756

Art Uni.I: 2664
procedure for filtering the coarse channel estimates in the frequency domain, and a procedure
for processing the coarse channel estimates in the time or frequency domain.
71. (New) The method of claim 66, wherein calculating the fine channel
estimates comprises:
zero-padding in the frequency domain to eliminate certain :frequency components
from the OFDM signal;
calculating coarse channel estimates using a least squares method;
employing a zero-forcing method to calculate the coarse channel estimates;
interpolating the channel estimates in the frequency domain;
extrapolating frequency domain values;
reducing the mean squared error of the coarse channel estimates; and
discarding the unused tones.
comprises at least one of a linear prediction procedure, a procedure for averaging the coarse
channel estimates in the frequency domain, a procedure for averaging the coarse channel
estimates in the time domain, a procedure for utilizing a decision feedback equalizer, a
decision directed procedure, a procedure utilizing a feedback from the channel decoder, a
procedure for filtering the coarse channel estimates in the frequency domain, and a procedure
for processing the coarse channel estimates in the time or frequency domain.
13
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App. No.: 101128,756

Art Unit: 2664
73. (New) The method of claim 63, wherein estimating the parameters of the
channel comprises calculating a noise variance.
74. (New) The method of claim 73, wherein calculating the noise variance
comprises calculating noise variance estimates using a unitary signal transmission matrix.
75. (New) The method of cJaim 74, wherein calculating the noise variance
estimates comprises calculating the noise variance estimates directly from time domain
coefficients of coarse channel estimates.
comprises calculating noise variance estimates using a non-unitary signal transmission
matrix.
estimates comprises:
calculating a noise term from coarse channel estimates and fine channel estimates;
multiplying the noise term by the signal transmission matrix;
calculating time domain noise estimate vectors; and
determining a noise variance estimation from the time domain noise estimate vectors.
14
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App. No.: 101128,756

Art Unit: 2664
78. (New) The method of claim 63, further comprising:
solving a system of linear equations; and
calculating a coarse channel estimation from the system of linear equations.
79. (New) The method of claim 63, wherein the number of training symbols is
equal to the number of transmitting antennas.
80. (New) The method of claim 63, wherein the number of training symbols is
greater than the number of transmitting antennas.
15
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App. No.: 101128.756

Art Unit: 2664
REMARKS
In the foregoing amendments, claims 1-40 are canceled without prejudice, disclaimer,
or waiver; and claims 41-80 are added. Claims 41-80 are now pending in the present
application.
I. Indication of Allowable Subject Matter

Applicants wish to thank the Examiner for indicating the presence of allowable
subject matter. Particularly, claims 17, 18, 29, and 31 have been indicated as being allowable
if re-written to overcome the rejections under 35 U.S.C. 112, second paragraph and to include
the subject matter of the base claim and any intervening claims. As discussed below,
Applicants provide new claims having features that are believed to be allowable over the
cited references. In paJ.ticular, new claims 53, 61, 69, and 71 are believed to be allowable for
at least the reason that they substantially correspond to original claims 17, 18, 29, and 31,
respectively, which were indicated as allowable.
ll. Response to Claim Objection

The Office Action objected to claim 18 because of a misspelled word. Since claim 18
has been canceled, this objection is rendered moot. It is believed that new claim 61, which
substantially corresponds to original claim 18, does not include the misspelled word and is
clear and definite.
III. Response to 35 U.S.C. §112, Second Paragraph Rejection

The Office Action rejected claims 1-18, 25, 27, 29-31, and 37 under 35 U.S.C. §112,
second paragraph, as being indefinite. Particularly, the Office Action indicated that the
antecedent basis for various terms is insufficient. Since these claims have been canceled,
these rejections are rendered moot. It is believed that the new claims are clear and definite,
and that they provide proper antecedent basis for each of the elements.
16
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App. No.: 101128.756

Art Unil: 2664
IV. Response to 35 U.S.C. §102 Rejection

Claims 1-15 and 19-28 were rejected under 35 U.S.C. §102(e) as allegedly being
anticipated by Ma et al. (U.S. Patent Application Publication No. 2002/0041635). In addition,
claims 38-40 were rejected under 35 U.S.C. §102(e) as allegedly being anticipated by Kadaus
(U.S. Patent No. 6,996,195). Applicants respectfully traverse these rejections. However, since
these claims have been canceled to provide new claims that more clearly define the aspects of
the present application, the rejections are rendered moot.
V. Response to 35 U.S.C. §103 Rejection

Claim 16 was rejected under 35 U.S.C. §103(a) as allegedly being unpatentable over
Ma et al. in view of Ho et al. (U.S. Patent No. 6,148,024). In addition, claims 30 and 32-37
were rejected under 35 U.S.C. §I03(a) as allegedly being unpatentable over Ma et al. in view
of Kadous. Applicants respectfully traverse these rejections. However, since these claims
have been canceled, the rejections are rendered moot.
VI. New Claims

Claims 41-80 have been added in the present application. The newly added claims
are believed to include features that the cited references do not teach or suggest. Therefore, it
is believed that the pending claims are allowable over the cited references. Allowance of the
pending claims is respectfully requested.
17
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App. No.: J0/128,756

Art Unit: 2664
CONCLUSION
In light of the foregoing amendments and for at least the reasons set forth above,
Applicants respectfully submit that all objections and/or rejections have been traversed,
rendered moot, and/or accommodated, and that the now pending claims 41-80 are in
condition for allowance. Favorable reconsideration and allowance of the present application
and all pending claims are hereby courteously requested. If, in the opinion of the Examiner, a
telephonic conference would expedite the examination of this matter, the Examiner is invited to
call the undersigned at (770) 933-9500.
JI (J ~ - 'U, - fr.---
Gk~W. Brown
Reg. No. 51,310
THOMAS, KAYDEN,
HORSTEMEYER & RISLEY, L.L.P.
Suite 1750
l 00 Galleria Parkway N. W.
Atlanta, Georgia 30339
(770) 933-9500
18
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To: Page 2 of21 2006-07-07 15:07:00 (GMT) RECEIVED 14046019667 From: Mary Kilgore
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PETITION FOR EXTENSION OF TIME UNDER 37CFR1.136(a} Docket No.
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Application Number: 101128,756 Filed: April 24, 2002
For: Estiamting Channel Parameters In Multl-lnput, Multl..Output (MIMO) Systems
Art Unit: 2664 Examiner: Fox, Jamal A
This is a request under the provisions of 37 CFR 1.136(a) to extend the period for filing a reply in the above
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The requested extension and fee are as follows (check time period desired and enter the appropriate fee below):
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RECEIVED
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CERTIFICATE OF FACSIMILE TRANSMISSION
UNDER 37 CFR §1.8
I hereby certify that this paper (along with any paper referred to as being attached
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States Patent and Trademark Office, facsimile number (571)-273-8300.
Date: /kid; Z .::?oore
App. No.: 101128,756 Art Unit: 2664
Applicants: Mody et al. Examiner: Fox, Jamal A.
Filed: Apri124,2002 Confirmation No.: 7529
Title: ESTIMATING CHANNEL Docket No.: 062004-1930

PARAMETERS IN MULTI-INPUT,
MULTI-OUTPUT (MIMO) SYSTEMS
First Response (with Amendments) - 18 pages

Amendment Transmittal Letter - I page
Petition for Extension of Time (1 month) - 1 page
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To: Page 3 of21 2006-07-07 15:07:00 (GMT) RECEIVED 14046019667 From: Mary Kilgore
CENTRAL FAX CENTER
JUL 0 7 2006
AMENDMENT TRANSMITTAL LEITER (LARGE) Docket No.
Applicant(s): Mody et al. 62004-1930
Serial No. Filing Date Examiner Confirmation No. Group Art Unit
10/128,756 April 24, 2002 Fox, Jamal A. 7529 2664
Invention: Estimating Channel Parameters in Multi-Input, Multi-Output (MIMO) Systems

Mail Stop Amendment
P.O. Box 1450
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Transmitted herewith is a First Response (with Amendments) in the above-identified appllcatlon.
The fee has been calculated and is transmitted as shown below
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Multiple Dependent Claims (check if applicable) D $360.00 $0
EXTENSION FEE 1"' MONTH [81 2""' MONTH LJ 3·-MONTH D 4' MONTH 0 $120.00
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Applic:ation or Dodtet Number
) PATENTAPPUCATIONFEEDETERMINATIONAECOAD O {'2.oo-4- I ,->o ~
Effective October 1, 2001 ........,
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CLAIMS AS FILED • PART I
Column 1
SMALL ENT1TV
TYPE c:::::::J
OTHER THAN
OR SMALL ENTITY
\-
TOTAL CLAIMS
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FOR N\MBERFILED SASICFEE 370.00 OR 740.00 r\
TOTAL CHARGEABLE a.AIMS }\ 0 minus 20- xse- OR X$18=
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MULTIPLE DEPENDENT a.AIM PRESENT
Cl +140= OR +280=
• If the difference in a:iJuivn 1 is less than zero, enter "t1' In column 2 OR. TOTAL _ _o_o..
TOTAL
. : OTHER THAN
Colurnn3 SMALL ENmv ·OR . SMALL ENTITY
: OR +280=
'-""""lftl"l-----t
.__.r_ _,OR ~Fe£AL_ _...,.
'• ..
ADDI· ADDI·
RATE TIONAL RATE TIONAL
XS9a
FEE
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OR X$1S..
X42.• OR >qMa
+140= OR +280=
IUIAL
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COlumn3
ADDI- ADDV
RATE TIONAL RATE TIONAL
FEE
X$9= OR X$1S..
X42• OR X84::o
+140= OR +280m
• II Iha entry In c:dumn 1 I& less than Ille entry In c:dumn 2. wrile "(f In cdwM 3. lUIAL TOTAL
•If the "Higllnl Number Previously Paid For'" IN THIS SPACE Is less lhlln 20, --:.zo: ADOif.FEE OR AOtJfl: F E E - -.....
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FORM P1047I (Rer. Miii U.S. OllWUMf.NT Ol'QlMV!iRICE

*"•C.O......at:t1'11•P
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P.O. av... i43U
Alexandria, Virginia 22313·1450
www.uspto.gov
10/128,756 04/24/2002 Apurva N. Mody 062004-1930 7529
24504 7590 03/08/2006 EXAMINER
THOMAS, KAYDEN, HORSTEMEYER & RISLEY, LLP FOX, JAMAL A

ART UNIT PAPER NUMBER
STE 1750
ATLANTA, GA 30339-5948 2664
DATE MAILED: 03/08/2006
PT0-90C (Rev. 10/03)

HPE EXHIBIT 1002 - 111/222
, _,
10/128,756 MODY ET AL.

Office Action Summary Examiner Art Unit
Jamal A. Fox 2664
-- The MAILING DA TE of this communication appears on the cover sheet with the correspondence address --
Period for Reply
A SHORTENED STATUTORY PERIOD FOR REPLY IS SET TO EXPIRE ;2 MONTH(S) OR THIRTY (30) DAYS,
WHICHEVER IS LONGER, FROM THE MAILING DATE OF THIS COMMUNICATION.
Extensions of time may be available under the provisions of 37 CFR 1.136(a). In no event, however, may a reply be timely filed
after SIX (6) MONTHS from the mailing date of this communication.
If NO period for reply is specified above, the maximum statutory period will apply and will expire SIX (6) MONTHS from the mailing date of this communication.
Failure to reply within the set or extended period for reply will, by statute, cause the application to become ABANDONED (35 U.S.C. § 133).
Any reply received by the Office later than three months after the mailing date of this communication, even if timely filed, may reduce any
earned patent term adjustment. See 37 CFR 1. 704(b).
Status
1)~ Responsive to communication(s) filed on 24 April 2002.

2a)0 This action is FINAL. 2b)~ This action is non-final.
3)0 Since this application is in condition for allowance except for formal matters, prosecution as to the merits is
closed in accordance with the practice under Ex pane Quayle, 1935 C.D. 11, 453 O.G. 213.
Disposition of Claims
4)~ Claim(s) 1-40 is/are pending in the application.

4a) Of the above claim(s) _ _ is/are withdrawn from consideration.
5)0 Claim(s) _ _ is/are allowed.
6)~ Claim(s) 1-40 is/are rejected.
7)0 Claim(s) _ _ is/are objected to.
8)0 Claim(s) _ _ are subject to restriction and/or election requirement.
Application Papers
9)0 The specification is objected to by the Examiner.

1O)~ The drawing(s) filed on 24 April 2002 is/are: a)~ accepted or b)O objected to by the Examiner.
Applicant may not request that any objection to the drawing(s) be held in abeyance. See 37 CFR 1.85(a).
Replacement drawing sheet( s) including the correction is required if the drawing(s) is objected to. See 37 CFR 1.121 ( d).
11 )0 The oath or declaration is objected to by the Examiner. Note the attached Office Action or form PT0-152.
Priority under 35 U.S.C. § 119
12)0 Acknowledgment is made of a claim for foreign priority under 35 U.S.C. § 119(a)-(d) or (f).
a)O All b)O Some • c)O None of:
1.0 Certified copies of the priority documents have been received.
2.0 Certified copies of the priority documents have been received in Application No. _ _ .
3.0 Copies of the certified copies of the priority documents have been received in this National Stage
application from the International Bureau (PCT Rule 17.2(a)).
• See the attached detailed Office action for a list of the certified copies not received.
Attachment(s)
1) ~ Notice of References Cited (PT0-892) 4) 0 Interview Summary (PT0-413)
2) 0 Notice of Draftsperson's Patent Drawing Review (PT0-948) Paper No(s)/Mail Date. _ _ .
3) ~ Information Disclosure Statement(s) (PT0-1449 or PTO/SB/08) 5) 0 Notice of Informal Patent Application (PT0-152)
Paper No(s)/Mail Date 71112002. 6) 0 Other: _ _ .
U S. Patent Md Trademark Office
PTOL-326 (Rev. 7-05) Office ActiQn Summary Part of Paper No./Mail Date 03032006
HPE EXHIBIT 1002 - 112/222

Art Unit: 2664
DETAILED ACTION
Claim Objections
1. Claim 18 is objected to because of the following informalities: Claim 18, line 4,
after "channel" --parameters-- is spelled incorrectly. Appropriate correction is required.
2. The following is a quotation of the second paragraph of 35 U.S.C. 112:
The specification shall conclude with one or more claims particularly pointing out and distinctly
claiming the subject matter which the applicant regards as his invention.
3. Claims 1-18, 25, 27, 29, 30, 31, 37 are rejected under 35 U.S.C. 112, second
paragraph, as being indefinite for failing to particularly point out and distinctly claim the
subject matter which applicant regards as the invention.
4. Claim 1 recites the limitation "said number Q of transmitting antenhas" and "said
number L of OFDM demodulators" in lines 7 and 10 respectively. There is insufficient
antecedent basis for this limitation in the claim.
5. Claims 2-18 are likewise rejected because they depend on a base rejected claim.
6: Claim 15 recites the limitation "OFDM encoder" in line 1. There is insufficient
7. Claim 25 recites the limitation "the extended channei impulse" and "the
synchronization performance" in lines 4 and 5 respectively. There is insufficient
antecedent basis for this limitation in the claim ..
8. Claim 27 recites the limitation "the mean square error" in line 6. There is
insufficient antecedent basis for this limitation in the claim.
HPE EXHIBIT 1002 - 113/222

9. Claim 29 recites the limitation "the time domain" and "the channel decoder" in
lines 4 and 6 respectively. There is insufficient antecedent basis for this limitation in the
claim.
10. Claim 30 recites the limitation "the frequency domain" in line 4. There is
insufficient antecedent basis for this limitation in the claim.
11. Claim 31 recites the limitation "the time domain" in line 4. There is insufficient
12. Claim 37 recites. the limitation "the extraneous unwanted noise" in line 2. There
is insufficient antecedent basis for this limitation in the claim.
13. The following is a quotation of the appropriate paragraphs of 35 U.S.C. 102 that
form the basis for the rejections under this section made in this Office action:
A person shall be entitled to a patent unless -
(e) the invention was described in (1) an application for patent, published under section 122(b ), by
another filed in the United States before the invention by the applicant for patent or (2) a patent
granted on an application for patent by another filed in the United States before the invention by the ·
applicant for patent, except that an international application filed under the treaty defined in section
351 (a) shall have the effects for purposes of this subsection of an application filed in the United States
only if the international application designated the United States and was published under Article 21 (2)
of such treaty in the English language.
14. .Claims 1-15 and 19-28 are rejected under 35 U.S.C. 102(e) as being anticipated
by Ma et al. (U.S. Patent Application Pub. No. 2002/00041635 A1 ).
Referring to claim 1, Ma et al. discloses an apparatus for estimating channel
parameters in a Multi-Input, Multi-Output (MIMO) Orthogonal Frequency Division
Multiplexing (OFDM) system, the apparatus comprising: a number Q of OFDM
modulators, each OFDM modulator producing a frame comprising at least one inserted
HPE EXHIBIT 1002 - 114/222

symbol, a plurality of data symbols and cyclic prefixes (see fig. 1 elements 105, 107 and
page 1, paragraph (0005] and page 2, [0023, 0028]; said number Q of transmitting
antennas, each transmitting antenna (see fig. 1 elements TxA and TxB) connected to a
respective OFDM modulator, for transmitting said frame over a channel; a number L of
receiving antennas (see fig. 7 elements Rx A and Rx B) for receiving the transmitted
frames; and said number L of OFDM demodulators each OFDM demodulator (see fig. 7
elements 705 and 707) corresponding to a respective receiving antenna; and an OFDM
decoder (see fig. 7 element 713), connected to the output of each of the L OFDM
demodulators (see fig. 7 elements 705 and 707), the OFDM decoder comprising a
parameter estimator (see fig. 7 elements 709 and 711) which processes the received
frame in order to estimate the parameters of the channel.
Referring to claim 2, Ma et al. discloses wherein the cyclic prefixes protect the
data symbols against Inter Symbol Interference (ISi) (see page 1, [0005]) .
. Referring to claim 3, Ma et al. discloses wherein at least one inserted symbol has
at least one pilot symbol inserted within the data symbols or at least one training symbol
inserted at the beginning of the frame (see page 2, [0025]).
Referring to claim 4, Ma et al. discloses the apparatus of claim 1, wherein the
parameter estimator comprises a circuit for calculating channel estimates (see fig. 7
elements 709 and 711 ).
parameter estimator comprises a circuit for calculating coarse channel estimates (see
HPE EXHIBIT 1002 - 115/222

Art Unit: 2664
fig. 7 elements 709 and 711) using at least one of at least squares method and a zero-
forcing method (see paragraph [0027]).
parameter estimator (see fig. 7 elements 709 and 711) further comprises a circuit for
interpolating values in the frequency domain (frequency domain, paragraph [0048]) .
. Referring to claim 7, Ma et al. discloses the apparatus of claim 5, wherein the
parameter estimator further comprises a circuit for reducing the mean square error
(error, parag·raph [0026]) of the coarse channel estimates.
parameter estimator further comprises a circuit for zero-padding unused tones (see
paragraph [0027]).
parameter estimator (see fig. 7 elements 709 and 711) further comprises a circuit for
extrapolating values in the frequency domain (frequency domain, paragraph [0048]).
parameter estimator further comprises a circuit for discarding unused tones (see
paragraph [0038]).
Referring to claim 11, Ma et al. inherently teaches, wherein Q is equal to L.
Referring to claim 12, Ma et al. inherently teaches, wherein Q is equal to one.
Referring to claim 13, Ma et al. inherently teaches, wherein Q equals two (see
fig. 1).
Referring to claim 14, Ma et al. inherently teaches, wherein Q in not equal to L.
HPE EXHIBIT 1002 - 116/222

Art Unit: 2664
Referring to claim 15, Ma et al. discloses, wherein the OFDM encoder comprises:
a channel encoder (see fig. 1 element 101 ); a QAM modulator interleaver is the same
as the claimed (symbol mapper) (see fig. 1 element 103 and page 1, (0005]) connected
to an output of the channel encoder; a space-time processor (see fig. 1 elements 105,
107 are the same as th.e claimed space-time processor) connected to an output of the
symbol mapper, the space-time processor separating data into a plurality of sub-
channels; and a piloUtraining symbol inserter (see fig. 1 element 109 and page 2-3,
[0025], (0032]), which inserts pilot symbols and training symbols onto the sub-channels.
Referring to claim 19, Ma et al. discloses a method for estimating parameters of
a channel across which signals in a Multi-Input Multi-Output (MIMO) Orthogonal
Frequency Division Multiplexing (OFDM) system are transmitted, the method
comprising the steps of: producing a frame of data comprising a preamble that includes
a calibration component which aids in parameter estimation, a plurality of data symbols,
and a plurality of cyclic prefixes (see fig. 7 elements 709 and 711, see fig. 2 and page 1
[0011-0012], page 2, (0023-0028]); transmitting the frame over a channel (see fig. 1);
receiving the transmitted frame (see fig. 7); demodulating (see fig. 7 element 705 or
707) the received frame; calculating the estimates of the channel parameters from the
received demodulated frame (see fig. 7 elements 709 and 711 ).
Referring to claim 20, Ma et al. discloses the method of claim 19, wherein the
step of producing comprises a preamble that aids in synchronization and parameter
estimation (see paragraph [0042]).
HPE EXHIBIT 1002 - 117/222

Art Unit: 2664
step of producing comprises producing a preamble of a generalized length having a
number of OFDM symbols less than a number of transmitting antennas (see
parapagraphs [0005] and [0040]).
number of OFDM symbols equal to a number of transmitting antennas (see
number of OFDM symbols greater than a number of transmitting antennas (see
Referring to claim 24, Ma et al. discloses, the method of claim 19, wherein the
step of producing comprises producing a preamble whose signal transmission matrix
resembles an existing space time block code (see paragraph [0028]).
step of producing comprises producing cyclic prefixes in the preamble and in the data
symbols such that the cyclic prefixes in the preamble are longer than the cyclic prefixes
in the data symbols, thereby countering the extended channel impulse response and
improving the synchronization performance (see paragraphs [0005] and [0023]).
HPE EXHIBIT 1002 - 118/222

Art Unit: 2664
step of calculating comprises calculating fine channel estimates (see fig. 7 elements
709 and 711 ).
step of calculating fine channel estimates comprises: calculating coarse channel
estimates using a least squares method or a zero-forcing method (see paragraph
[0027]); interpolating the channel estimates in the frequency domain (frequency domain,
paragraph [0048]); reducing the mean square error (error, paragraph [0026]) of the
coarse channel estimates.
step of reducing the means square error comprises: performing a IDFT (OFT,
paragraphs [0005] and [0047]) operation on the coarse channel estimates to convert the
coarse channel estimates to the time domain; performing a windowing operation (see
paragraphs [0006] and [0045]); and performing a Fast Fourier Transform (FFT)
operation (FFT, paragraphs [0023], [0028], [0032] and [0047]).
step of calculating the fine channel estimates comprise: zero-padding in the frequency
domain to eliminate certain frequency components from the OFDM signal; calculating
coarse channel estimates using a least squares
15. Claims 38-40 are rejected under 35 U.S.C. 102(e) as being anticipated by
Kadous (U.S. Patent No. 6,996, 195).
HPE EXHIBIT 1002 - 119/222

Art Unit: 2664
Referring to claim 38, Kadous discloses a method of estimating channel
parameters in a Multi-Input, Multi-Output (MIMO) system, the method comprising:
creating a preamble (see col. 9 lines 55-60) containing characteristics for calibrating the
MIMO system; forming a signal transmission matrix (see matrix, col. 4 lines 10-29 and
col. 8 lines1-15) that comprises the preamble; solving a system of linear equations (see
col. 5 lines 40-65, col. 6 lines 1-14 and col. 7 lines 25-65); and calculating a coarse
channel estimation form the result of the step of solving the system of linear equations
(see col. 5 lines 14-28 and col. 5 line 65 - col. 6 line 20).
·Referring to claim 39, Kadous discloses the method of claim 38, wherein the step
of solving the system of linear equations comprises the step of a least squares method
(LS, see col. 5 lines 15-28 lines 65-67).
Referring to claim 40, Kadous discloses the method of claim 38, wherein the step
of solving the system of linear equations comprises the step of performing a zero-
forcing method (see col. 8 lines 40-50 and col. 9 lines 20-25), .
16. The following is a quotation of 35 U.S.C. 103(a) which forms the basis for all
obviousness rejections set forth in this Office action:
(a) A patent may not be obtained though the invention is not identically disclosed or described as set
forth in section 102 of this title, if the differences between the subject matter sought to be patented and
the prior art are such that the subject matter as a whole would have been obvious at the time the
invention was made to a person having ordinary skill in the art to which said subject matter pertains.
Patentability shall not be negatived by the manner in which the invention was made.
17. Claim 16 is rejected under 35 U.S.C. 103(a) as being unpatentable over Ma et al.
(U.S. Patent Application Pub. No. 2002/00041635 A1) in view of Ho et al. (U.S. Patent
No. 6,148,024).
HPE EXHIBIT 1002 - 120/222

Application/Control Number: 10/128, 756 Page 1O
Art Unit: 2664
Referring to claim 16, Ma et al. teaches all the features of the claimed invention
except wherein each of the Q OFDM modulators comprises: serial-to-parallel converter;
and inverse Fourier transform (IDFT) stage connected to an output of the serial-to-
parallel converter; a cydic prefix inserter connected to an output of the IDFT stage; a
parallel-to-serial converter connected to an output of the cyclic prefix inserter; a digital-
to-analog converter (DAC) connected to an output of the parallel-to-serial converter; a
local oscillator; a mixer having a first input and a second input, the first input connected
to an amplifier connected to an output of the mixer.
·Ho et al. teaches of the Q OFDM modulators comprises: a serial-to-parallel
converter (see fig. 1 element 14); an inverse discrete Fourier transform (IDFT) stage
connected to an output of the serial-to-parallel converter (see fig. 1 element 15); a cyclic
prefix inserter (see col. 3 lines 25-30) connected to an output of the IDFT stage; a
parallel-to-serial converter (see fig. 1 element 16) connected to an output of the cyclic
prefix inserter; a digital-to-analog converter (DAC) (see fig. 1 element 17) connected to
an output of the parallel-to-serial converter; cosine or sine wave is the same as the
claimed (a local oscillator) (see fig. 1 elements cos or sin). Note that sine and cosine
are known in the art to provide clock pulses therefore cosine or sine wave of Ho is the
same as the claimed (a local oscillator); a mixer having a first input and a second input
(see fig. 1 element 18), the first input connected to an output of the DAC, the second
input connected to the output of the oscillator; and an amplifier (see fig. 1 element 19)
connected to an output of the mixer.
HPE EXHIBIT 1002 - 121/222

Art Unit: 2664
It would have been obvious to one having ordinary skill in the art at the time the
invention was made to implement the teaching of Ho et al. to Ma et al. as to overcome
inter-symbol interference as taught by Ho et al. (see col. 3, lines 5-10).
18. Claims 30, and 32-37 are rejected under 35 U.S.C. 103(a) as being unpatentable
over Ma et al. (U.S. Patent Application Pub. No. 2002/00041635 A1) in view of Kadous
(U.S. Patent No. 6,996, 195).
step of calculating the fine channel estimates comprise: zero-padding in the frequency
domain to eliminate certain frequency components from the OFDM signal; employing a
zero-forcing method to calculate the coarse channel estimates; interpolating the channel
estimates in the frequency domain; extrapolating frequency domain values; reducing the
means square error of the coarse channel estimates; and discarding the unused tones,
but fails to explicitly teach of calculating coarse channel estimates using a least squares
method. However, Kadous discloses calculating coarse channel estimates using a least
squares method (see col. 5 lines 15-28 lines 65-67). It would have been obvious to one
having ordinary skill in the art at the time the invention was made to implement the
teaching of Kadous to Ma et al. in order to provide a channel estimate for each channel
as taught by Kadous (see paragraph [0048]).
Referring to claim 32, Ma et al. discloses the method of claim 19, but fails to
explicitly teach of calculating a noise variance. However, Kadous discloses calculating
noise variance (see noise variance, col. 7 lines 1-2). It would have been obvious to
one having ordinary skill in the art at the time the invention was made to have included
HPE EXHIBIT 1002 - 122/222

/:ld I,...,;+. 'lCC A
1 \I l VI Ill. .C:::...VV'-t
the noise variance of Kadous to the invention of Ma et al. because it is based on the
channel estimates as suggested by Kadous (see paragraph [0048]).
Referring to claim 33, Kadous further discloses calculating noise variance
estimates for a unitary signal transmission matrix (see matrix, col. 4 lines 10-29 and col.
8 lines1-15).
·Referring to claim 34, Kadous further discloses calculating the noise variance
estimates directly from time domain coefficients of coarse channel estimates (see time
domain, col. 7 lines 25-30, col. 8 lines 15-25 and col. 9 lines 18-29).
Referring to claim 35, Kadous further discloses calculating noise variance
estimates for a non-unitary signal transmission matrix (see matrix, col. 4 lines 10-29 and
col. 8 lines1-15).
Referring to claim 36, Kadous further discloses calculating the noise variance
estimates comprising the steps of: calculating a noise term from coarse channel
estimates and fine channel estimates; multiplying the noise term by the signal
transmission matrix; calculating time domain noise estimate vectors; and determining a
noise variance estimation from the time domain noise estimate vectors (see col. 5 line
60 - col. 6 line 25 and col. 7 lines 1-6).
Referring to claim 37, Kadous further discloses the noise variance representing
the power of the extraneous unwanted noise present in the signals (col. 4 lines 5-12).
Allowable Subject Matter
HPE EXHIBIT 1002 - 123/222

.A.rt Unit: 2664
19. Claims 17, 18, 29 and 31 would be allowable if rewritten to overcome the
rejection(s) under 35 U.S.C. 112, 2nd paragraph, set forth in this Office action and to
include all of the limitations of the base claim and any intervening claims.
Conclusion
20. Any response to this action should be mailed to:

P. 0. Box 1450
or faxed to:
.:
(571) 273-8300, (for formal communications intended for entry)
examiner should be directed to Jamal A. Fox whose telephone number is (571) 272-
3143. The examiner can normally be reached on Monday-Friday 8:30 AM 7:00 PM.
supervisor, Seema Rao can be reached on (571) 272-3174. The fax phone number for
the organization where this application or proceeding is assigned is (571) 273-8300.
Any inquiry of a general nature or relating to the status of this application or
proceeding should be directed to 2600 Customer Service whose telephone number is
(571) 272-2600.
~(}.io,o ~£ ~(rJo'<?
KEVINC~~ER
Jamal A. Fox PATENT EXAMINER
HPE EXHIBIT 1002 - 124/222

,l\rt Unit: 2664
HPE EXHIBIT 1002 - 125/222

Fonn PT0-1449
INFORMATION DISCLOSURE
• -
t~cfN~
•
Attorney Docket No.
062004-! 930
Applicant
!
page 1 0 f I
Serial No.
iOiU8,756
i Mody, ct al.
(Use several sheets if necessary~ JUL 0 \ lmll · u""' Filing Date I Group
".5!. SJ April 24, 2002 +DD- .:1 (:,(,,.. 'f
U.S.P~ ?§1{f~ENTS
Examiner Item Document Date - Name Class Subclass Filing Date
Initials Number If Appropriate
"7f.A.F. A S,732,113 3/24/98 $chmidl, et al. 375 355

-:(AF': B 6,088,408 7/11/00 k::aldcrbank, et al. 375 347
'J: A.;:: c 6,115,427 915100 :Calderbank, et al. 375 267
::r.4.r. D 6,125,149 9126100 ~afarkhani, et al. 375 262
"f.A .r. E 6,185,258 216101 Alamouti, et al. 375 260

T.'4.F. F 6,188,736 2/13/0 I Lo, et al. 375 347
OTHER DOCUMENTS (I11cludi11g Author. Title. Date, Pertinent Pages, etc.)
G IMody, Apurva N. and Stuber, Gordon L., "Synchronization for MIMO OFDM Systems," School of Electrical and Computer
"("4.F"' !Engineering, Georgia Institute of Technology, Atlanta, GA
H IMody, Apurva N. and Stuber, Gordon L., "Parameter Estimation for MIMO OFDM Systems," School of Electrical and
J.4.r. ~omputcr Engineering; Georgia Institute of Technology, Atlanta, GA
I Schmidlc, Timothy M. and Cox, Donald C., "Robust Frequency and Timing Synchronization for OFDM," IEEE Transactions
'X~.(. on Communications, Vol. 45, No. 12, December l 997, pp. 1613-1621.
J Alamouti, Siavash M., "A Simple Transmit Diversity Technique for Wireless Communications," IEEE Journal on Select Areas
~A.F n Communications, Vol. 16, No. 8, October 1998 .
K ... i, Ye (Geoffrey), Scshadri, Nambirajan, and Ariyavisitakul, Sirikiat, "Channel Estimation for OFDM Systems with
1A.(." rrrnnsmitter Diversity in Mobile Wireless Channels," IEEE Journal on Selected Areas in Communications, Vol. 17, No. 3,
March 1999.
L ITarokh, Vahid, Jafarkhani, Hamid, and Caldt."Tbank, A. Robert, "Space-Time Block Coding for Wireless Communications:
7,4.r; :Performance Results," l EEE Journal on Selected Areas in Communications, Vol. 17, No. 3, March 1999.
M Mody, Apurva N. and Stuber, Gordon L., "Efficient Training and Synchronization Sequence Structures for MIMO OFDM,"
::[4.( School of Electrical and Computer Engineering, Georgia Institute of Technology, Atlanta, GA 30332 and Wi-LAN, Wireless
Data Communications Inc., Atlanta, Georgia, pp. 1-7.
N Tarokh, Vanhid, Jafarkhani Hamid, and Caldcrbank, A.R., "Space-Time Block Codes from Orthogonal Designs," IEEE
-:r.4.r. Transactions on Information Theory, Vol. 45, No. 5, July 1999.
• EXAM rNER: Initial if citation considered, whether or not citation is in conformance with MPEP§ 609. Draw line lhrough citation if not in conformance and
not considered. Include copy of this form with next communication to the applicant.
EXAMINER'S SIGNATURE: _,;;__ - • t...':/ 4. ~l DA TE CONSIDERED:
3/J/~ oo b
\ - Patent and Trademark Office; U.$. IJEPARTMENT OF COMMERCE
/
HPE EXHIBIT 1002 - 126/222

Applica~ion/Control No. Applicant(s )/Patent Under
Reexamination
10/128,756 MODY ET AL.
Examiner Art Unit
Page 1 of 2
Jamal A. Fox 2664

* A US-6,888,899 05-2005 Raleigh et al. 375/299
* B US-5,867,478 02-1999 Baum et al. 370/203
* c US-6,473,467 10-2002 Wallace et al. 375/267
* D US-2002/0154 705 10-2002 Walton et al. 375/267
* E US-2002/0122381 09-2002 Wu et al. 370/208
* F US-6,961,388 11-2005 Ling et al. 375/267
* G US-2002/0041635 04-2002 Ma et al. 375/267
* H US-6, 148,024 11-2000 Ho et al. 375/222
* I US-6,373,861 04-2002 Lee, Hyun-Kyu 370/503
* J US-6, 792, 035 09-2004 Kontola, llkka 375/148
* K US-6,952,454 10-2005 Jalali et al. 375/260
* L US-2003/0043928 03-2003 Ling et al. 375/267
* M US-2002/0191703 12-2002 Ling et al. 375/267

N
0
p
s
T
A copy of this reference 1s not be111g furnished with this Office action. (See MPEP § 707.0S(a).)

HPE EXHIBIT 1002 - 127/222

/
Reexamination
10/128, 756 MODY ET AL.
Exarnin1::1 Art Unit
Page 2 of 2
Jamal A Fox 2664
* A US-6, 771, 706 08-2004 Ling et al. 375/267
* B US-6,985,434 01-2006 Wu et al. 370/208
* c US-6,996, 195 02-2006 Kadous, Tamer 375/341
D US-
E US-
F US-
G US-
H US-
I US-
J US-
K US-
L US-
M US-
0
p
s
T
"A copy of this reference 1s not be111g furnished with this Office action. (See MPEP § 707.05(a).)
. Dates in MM-YYYY fo11nat are publication dates. Classifications may be US 01 foreign.
U.S. Patent and T1ademark Office
HPE EXHIBIT 1002 - 128/222

10/128,756 MODY ET AL.
I
Illllll lllll llll 11111111111111111111111111111111
Examiner
Jamal A. Fox
Art Unit
2664
(Through numeral)
..) Rejected - Cancelled N Non-Elected A Appeal
= Allowed .,. Restricted I Interference 0 Objected
Claim Date Claim Date Claim Date
roc: roc: <.o

roc: roc: roc: roc:
'Oi e 'Oi 'Oi
u:: (")
;;; u:: u:
0 0 0
1 ..j 51 101
2 y 52 102
3 ..j 53 103
4 y 54 104
5 ,1 55 105
6 ..j 56 106
7 ,1 57 107
8 ,1 58 108
9 \' 59 109
10 ..j 60 110
11 ..j 61 111
12 ..j 62 112
13 ,1 63 113
14 ,1 64 114
15 ..j 65 115
16 ..j 66 116
17 ..j 67 117
18 ,1 68 118
19 ..j 69 119
20 ,, 70 120
21 ..j 71 121
22 \' 72 122
23 ,, 73 123
24 ,1 74 124
25 ,1 75 125
26 y 76 126
27 ,1 77 127
28 ,1 78 128
29 ,1 79 129
30 ,1 80 130
31 ,1 81 131
32 ,1 82 132
33 ,, 83 133
34 ,1 84 134
35 ,1 85 135
36 ,, 86 136
37 ,1 87 137
38 ,1 88 138
39 ../ 89 139
40 ..j 90 140
41 91 141
42 92 142
43 93 143
44 94 144
45 95 145
46 96 146
47 97 147
48 98 148
49 99 149
50 100 150
HPE EXHIBIT 1002 - 129/222

Search Notes Reexamination
10/128,756 MODY ET AL.
Ex;iminer Art Unit
11111111111111111111111111111111111111111111111111
Jamal A. Fox 2664
SEARCH NOTES
SEARCHED
208, 209,
370 210, 503, 3/5/2006 JFOX
342, 335 See East Search History 3/5/2006 JFOX
370 479, 404 3/5/2006 JFOX
370 480, 488 3/5/2006 JFOX
370 204, 205 3/5/2006 JFOX See Inventor Name Search Result 3/4/2006 JFOX
370 206,328 3/5/2006 JFOX
370 329. 330 31512006 JFOX
370 428 3/5/2006 JFOX See IEEE NPL Search History 3/4/2006 JFOX
375 267, 135 3/5/2006 JFOX
375 148, 150 3/5/2006 JFOX
375 144, 285 3/5/2006 JFOX
375 130, 140 3/5/2006 JFOX
375 142, 346 3/5/2006 JFOX
375 348, 350 3/5/2006 JFOX
375 343, 147 3/5/2006 JFOX
HPE EXHIBIT 1002 - 130/222

Search Notes (continued) Reexamination
10/128,756 MODY ET AL.
Exam!ner Arl Unit
Illllll lllll lllll 111111111111111111111111111111111
Jamal A. Fox 2664
SEARCH NOTES
SEARCHED
354. 355,
375 316, 219, 3/5/2006 JFOX
222, 283
375 299, 362 3/5/2006 JFOX
375 366, 229 31512006 JFOX
375 231, 232 3/5/2006 JFOX
375 279, 308 3/5/2006 JFOX
375 329, 260 3/5/2006 JFOX
375 261, 295 3/5/2006 JFOX
375 298, 349 3/5/2006 JFOX
375 340, 347 3/5/2006 JFOX
375 358, 210 3/5/2006 JFOX
HPE EXHIBIT 1002 - 131/222

• • • 4'
Page I of 2
UNITED S·1::\TES PATENT A:'\JO TRADE.tvf..A.HK OFFICE

UNITloD S'l'A'l'l':S Dl·:PAHTJ\1 ENT OF CO~BIEHCE
Unit(.;d SWt<;~ P+HC1tt .tind Tl't1dc.::mnrk Offi<.·t~
A~!drc.i<~: <X::vr~lIS$1C)NBH f'Ok PATENTS
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\\'\\'h'.1:-;plC•.g<Jll-
1111111111111111111111111111111111111111111111111111111111111111111111 CONFIRMATION NO. 7529

Bib Data Sheet
FILING DATE
04/24/2002 ATTORNEY
SERIAL NUMBER CLASS GROUP ART UNIT
DOCKET NO.
10/128,756 370 2664
062004-1930
RULE
PP LI CANTS
Gordon L. Stuber, Atlanta, GA;
** CONTINUING DATA ********~******/*********

'' eS :T,A .r-;
This appln claims benefit of 60/286, 130 04/24/2001
and claims benefit of 60/286, 180 04/24/2001
Alo,-,e - AF
** FOREIGN APPLICATIONS******************** J' -.
IF REQUIRED, FOREIGN FILING LICENSE GRANTED :f .ti C

** 05/23/2002 . . 'T .,-.
Foreign Priority claimed

STATE OR SHEETS TOTAL INDEPENDEN
35 USC 119 (a-d) conditions
met
erified and COUNTRY DRAWING CLAIMS CLAIMS
cknowledged GA 8 40 3
DD RESS
24504
STE 1750
TLANTA, GA
30339-5948
TITLE
FILING FEE FEES: Authority has been given in Paper

No. to charge/credit DEPOSIT ACCOUNT
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3/4/06
I.
EAST Search History

1
Q~ery
I
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Hits Search DBS Default Time Stamp
"Cl Plurals
# Operator
LS 2 ("20020041635").PN. US·PGPUB; OR OFF 2006/03/04 22:32
USPAT;
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DERWENT;
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L6 2 ("6792035"). PN. US-PGPUB; OR OFF 2006/03/04 22:36
USPAT;
USOCR;
EPO; JPO;
DERWENT;
IBM_TDB
L7 2 ("6373861").PN. US-PGPUB; OR OFF 2006/03/04 22:39
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EPO; JPO;
DERWENT;
IBM_TDB
LS 2 ("20020041637").PN. US-PGPUB; OR OFF 2006/03/04 22:45
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USOCR;
EPO; JPO;
DERWENT;
IBM_TDB
L9 2 ("6148024").PN. US-PGPUB; OR OFF 2006/03/04 23:56
USPAT;
USOCR;
EPO; JPO;
DERWENT;
IBM_TDB
LlO 152 (MIMO or "multi input multi US-PGPUB; OR OFF 2006/03/05 01:08
output") and (OFDM or USPAT;
"orthogonal frequency division EPO; JPO;
multiplexing") and "modulator" DERWENT;
and "demodulator" and "antenna" IBM_TDB
and "decoder"
I Lll 7 (MIMO or "multi input multi US-PGPUB; OR OFF 2006/03/05 01:08
and "decoder" and
@ad<"20010424"
3/5/06 1:10:44 AM Page 1

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HPE EXHIBIT 1002 - 134/222
EAST Search History
I I 11
1
(MIMO or "multi input multi US-PG PUB;

I '
1....J.L
....
OR OFF 2006/03/05 01:08
multiplexing") and "preamble" and DERWENT;
(symbol or "data symbol") and IBM_TDB
"demodulating" and ("cyclic prefix"
or "cyclic prefixes")
L13 1 (MIMO or "multi input multi US-PGPUB; OR OFF 2006/03/05 01:09
or "cyclic prefixes") and
@ad<"20010424"
multiplexing") and (preamble DERWENT;
NEAR matrix) and ("coarse IBM_TDB
channel estimation" or "coarse
channel estimate")
us 0 (MIMO or "multi input multi US-PGPUB; OR OFF 2006/03/05 01: 09
channel estimate") and
@ad<"20010424"
L16 1 (MIMO or "multi input multi US-PGPUB; OR OFF 2006/03/05 01 :09
output") and (preamble NEAR USPAT;
matrix) and ("coarse channel EPO; JPO;
estimation" or "coarse channel DERWENT;
estimate") IBM_TDB
L17 0 (MIMO or "multi input multi US-PG PUB; OR OFF 2006/03/05 01:09
output") and (preamble NEAR USPAT;
matrix) and ("coarse channel EPO; JPO;
estimate") and @ad<"20010424" IBM_TDB
output") and "preamble" and USPAT;
"matrix" and ("coarse channel EPO; JPO;
output") and "preamble" and USPAT;
"matrix" and ("channel estimation" EPO; JPO;
or "channel estimate") and DERWENT;
@ad<"20010424" IBM_TDB
3/5/06 1:10:44 AM Page 2

C: \Documents and Settings\J Fox 1\My Documents\EAST\Workspaces\911. wsp
HPE EXHIBIT 1002 - 135/222
EAST Search History
I I'")/"\ I 1
L..~V 0 (MIMO or "multi input multi US-PGPUB; OR OFF 2006/03/05 01: 10
output") a'nd (preamble NEAR USPAT;
matrix) and ("channel estimation" EPO; JPO;
@ad<"20010424" IBM_TDB
L22 34128 ((370/208) or (370/209) or US-PGPUB; OR OFF 2006/03/05 01:03
(370/210) or (370/503) or USPAT;
(370/342) or (370/335) or USOCR;
(370/479) or (370/404) or EPO; JPO;
(370/480) or (370/488) or DERWENT;
(375/267) or (375/135) or IBM_TDB
(375/148) or (375/150) or
(375/144) or (375/285) or
(375/130) or (375/140) or
(375/142) or (375/150) or
(375/346) or (375/348) or
(375/350) or (375/343) or
(375/147) or (375/354) or
(375/355) or (375/316) or
(375/219) or (375/222) or
(375/283) or (375/362) or
(375/366) or (375/229) or
(375/231) or (375/232) or
(375/279) or (375/308) or
(375/329) or (375/260) or
(375/261) or (375/295) or
(375/298) or (375/349) or
(375/340)).CCLS.
C:\Documents and Settings\JFoxl \My Documents\EAST\Workspaces\911. wsp

HPE EXHIBIT 1002 - 136/222
EAST Search History
I , .., ,.. I 1
LL:> 40084 ((370/208) or (370/209) or US-PGPUB; OR OFF 2006/03/05 01 :08

(370/210) or (370/503) or USPAT;
(370/342} or (370/335) or USOCR;
(370/479) or (370/404) or EPO; JPO;
(370/480) or (370/488) or DERWENT;
(370/204) or (370/205) or IBM_TDB
(370/206) or (370/328) or
(370/329) or (370/330) or
(370/428) or (375/267) or
(375/135) or (375/148) or
(375/150) or (375/144) or
(375/285)' or (375/130) or
(375/140) or (375/142) or
(375/150) or (375/346) or
(375/348) or (375/350) or
(375/343) or (375/147) or
(375/354) or (375/355) or
(375/316) or (375/219) or
(375/222) or (375/283) or
(375/299) or (375/362) or
(375/366) or (375/229) or
(375/231) or (375/232) or
(375/279) or (375/308) or
(375/329) or (375/260) or
(375/261) or (375/295) or
(375/298) or (375/349) or
(375/340) or (375/347) or
(375/358) or (375/210)).CCLS.
L26 110 L25 and (MIMO or "multi input US-PGPUB; OR OFF 2006/03/05 01 :08
multi output") and (OFDM or USPAT;
and "decoder"
L27 7 L25 and (MIMO or "multi input US-PGPUB; OR OFF 2006/03/05 01:08
. multi output") and (OFDM or USPAT;
and "decoder" and
@ad<"20010424"
multi output") and (OFDM or US PAT;
'• ..
or "cyclic prefixes")
3/5/06 1:10:44 AM Page 4

HPE EXHIBIT 1002 - 137/222
EAST Search History
L29 1
.I. L25 and (MIMO or "multi input US-PGPUB; OR OFF 2006/03/05 01:09
(symbol or "data symbol") and !BM_TDB
or "cyclic prefixes") and
@ad<"20010424"
channel estimate")
channel estimate") and
@ad<"20010424"
L32 1 L25 and (MIMO or "multi input US-PG PUB; OR OFF 2006/03/05 01 :09
multi output") and (preamble USPAT;
NEAR matrix) and ("coarse EPO; JPO;
channel estimation" or "coarse DERWENT;
channel estimate") IBM_TDB
channel estimate") and IBM_TDB
@ad<"20010424"
channel estimate") and IBM_TDB
@ad<"20010424"
L35 0 L25 and (MIMO or "multi input US-PGPUB; OR OFF 2006/03/05 01: 10
multi output") and "preamble" and USPAT;
"matrix" and ("coarse channel EPO; JPO;
L36 5 L25 and (MIMO or "multi input US-PGPUB; OR OFF 2006/03/05 01: 10
multi output") and "preamble" and USPAT;
"matrix" and ("channel estimation" EPO; JPO;
@ad<"20010424" IBM_TDB
3/5/06 1:10:44 AM Page 5

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HPE EXHIBIT 1002 - 138/222
...
EAST Search History

I
I L37 I O I L25 and (MIMO or "muiti input US-PGPUB; OR OFF 2006/03/05 01: 10
NEAR matrix) and ("channel EPO; JPO;
estimation" or "channel estimate") DERWENT;
and @ad<"20010424" IBM_TDB
3/5/06 1:10:44 AM Page 6

HPE EXHIBIT 1002 - 139/222
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~' : Inventor Name Search Result Page I of 2
Day : Saturday
Date: 3/4/2006
Time: 21 :46:47
Inventor Name Search Result
Your Search was:
Last Name MODY

First Name= APURV A
IApplication#llratent#llstatusll Date Filed l!Title llrnventor Name I

106806':>9 Not I0/06/2003 Methods and systems for sampling MODY, APURVA
Issued
D frequency offset detection,

correction and control for MIMO
OFDM systems
LJ
60416381 Not 10/04/2002 Sample time offset detection, MODY, APURVA
Issued correction.and control for MIMO
OFDM systems
1101287561 Not
10128821
Issued
Not
LJ 04/24/2002 Estimating channel parameters in MODY, APURVAN.
multi-input, multi-output (MIMO)
systems
04/24/2002 TIME AND FREQUENCY MODY, APURVAN.
10245090
Issued
Not
Issued
D 30
SYNCHRONlZA TION TN
MULTI-INPUT, MUL Tl-
OUTPUT (MIMO) SYSTEMS
09/17/2002 Apparatus and methods for
providing efficient space-time
MODY, APURVA N.
structures for preambles, pilots

and data for multi-input, multi-
output communications systems
10264546 Not I0/04/2002 Preamble structures for single- MODY, APURVA N.
Issued
D input, single-output (SISO) and

multi-input, multi-output (MlMO)
communication systems
LJ
Not
I 60286180 I Issued 04/24/200 I Time and frequency MODY, APURVA N.
synchronization for multi input
multi output OFDM systems
LJ
60322786 Not 09/J 7/200 I Efficient training and MODY, APURVA
Issued synchronization sequence NARENDRA
structures for MIMO OFDM
I
60327145 Not
I Issued [:] I0/04/200 I Preamble structures for SlSO and MODY, APURVA
MTMO OFDM systems NARENDRA
I
60356870 Not
I Issued [:] 02/14/2002 Sequences for the preambles for
SISO and MlMO OFDM systems NARENDRA
MODY, APURVA
Inventor Search Con1pleted: No Records to Display.
HPE_NAM=apu...
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3/4/06
~1Ventor Name Search Result Page 2 of 2
Last !'lame First Name

Search Another: Inventor r~·ody·············································: ...... F~.p~;~·a·~·-····-~·······~-····~-·-··········· );j§,~~g~i!d
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_NAM=apu... - 142/222
3/4/06
.
.•
• PATENTS
In re application of: Art Unit:

Mody, et al.
Serial No: 10/128,756 Docket No.: 062004-1930
Filed: April 24, 2002
For: Estimating Channel Parameters in Multi-Input, Multi-Output
(MIMO) Systems
REQUEST FOR CORRECTION TO THE FILING RECEIPT

Assistant Commissioner for Patents j
ATTN: Office of Initial Patent Examination
Customer Service Center l'
I
Washington, D. C. 20231
Sir:
•
Applicant hereby advises the Commissioner that inventor Apurva N. Mady's name
1
. J
~
was spelled incorrectly. Instead of Apruva N. Mody, the correct spelling should be 1
"Apurva N. Mody."
Applicant further requests that a Corrected Filing Receipt be issued to the
undersigned attorney.
THOMAS, KAYDEN, HORSTEMEYER

& RISLEY, L.L.P.
100 Galleria Parkway, Suite 1750
Atlanta, Georgia 30339-5948
Date: Of.pf J ( 'l.-
Customer l'to.: 4504
t,{)
Docket: 062004-1930
CorrectFilingReceipt
Our Filename: f:ldata\06\06200411930\correclfilingreceipt.doc
HPE EXHIBIT 1002 - 143/222

CERTIFICATE OF MAILING
•
Assistant Commissioner for Patents
Box:
Washington, D.C. 20231
COPY OF PAPERS
ORIG~YFfLED
In re application of:
Mody, et al. Art Unit:
Serial No: 10/128,756
Filed: April 24, 2002 Docket No.: 062004-1930
For: Estimating Channel Parameters in Multi-Input, Multi-Output
(MIMO) Systems
The following is a list of documents enclosed:
Return Postcard
Request for Correction of Filing Receipt
Copy of Original Filing Receipt
CorrectFil ingReceipt
Our Filename: f:ldata\06\062004\ 1930\correctfilingreceipt.doc
HPE EXHIBIT 1002 - 144/222

•
Page 1 of2
I APPLICATION NUMBER FlLINGOATE I GRPARTUNIT I FlLFEEREC'O IATIY.OOCl<ET.NOI ORAWINGS I TOTCLAIMS I tNOCLAIMS I

10/128, 756 04/24/2002 2681 1100 062004- 8 40 3
1930

24504 FILING RECEIPT
100 GALLERIA PARKWAY, NW llllJDllOlmDIDIUIDllllDllllDllmmJUDOO
·ocoooooooos1 e11as·
STE 1750
ATLANTA, GA 30339-5948 COPY OF PAPER$
ORIGINAU.y FILED
Receipt is acknowledged of this nonprovisional Patent Application. It will be considered in its order and you will be
notified as to the results of the examination. Be sure to provide the U.S. APPLICATION NUMBER, FILING DATE,
NAME OF APPLICANT, and TITLE OF INVENTION when inquiring about this application. Fees transmitted by
check or draft are subject to collection. Please verify the accuracy of the data presented on this receipt. If an
error is noted on this Filing Receipt, please write to the Office of Initial Patent Examination's Filing
Receipt Corrections, facsimile number 703-746-9195. Please provide a copy of this Filing Receipt with the
changes noted thereon. If you received a "Notice to File Missing Parts" for this application, please submit
any corrections to this Filing Receipt with your reply to the Notice. When the USPTO processes the reply
to the Notice, the USPTO will generate another Filing Receipt incorporating the requested corrections (if
appropriate).
Applicant(s)
Apruva N. Mody, Atlanta, GA;
Gordon Lothar Stuber, Dekalb, GA;
Domestic Priority data as claimed by applicant

THIS APPLN CLAIMS BENEFIT OF 60/286,130 04/24/2001
AND CLAIMS BENEFIT OF 60/286, 180 04/24/2001
Foreign Applications oocKt.1t.D

If Required, Foreign Filing License Granted 05/23/2002
Projected Publication Date: To Be Determined - pending completion of Missing Parts
Non-Publication Request: No
Early Publication Request: No THOMAS KAYOEN

HORSTEMEYER & RISLEY, LLP.
Title MAY 3 1 2002

HPE EXHIBIT 1002 - 145/222

\'
Preliminary Class
455
• Page 2 of2
LICENSE FOR FOREIGN FILING UNDER

Title 35, United States Code, Section 184
Title 37, Code of Federal Regulations, 5.11 & 5.15
GRANTED
The applicant has been granted a license under 35 U.S.C. 184, if the phrase "IF REQUIRED, FOREIGN FILING
LICENSE GRANTED" followed by a date appears on this form. Such licenses are issued in all applications where
the conditions for issuance of a license have been met, regardless of whether or not a license may be required as
set forth in 37 CFR 5.15. The scope and limitations of this license are set forth in 37 CFR 5.15(a) unless an earlier
license has been issued under 37 CFR 5.15(b). The license is subject to revocation upon written notification. The
date indicated is the effective date of the license, unless an earlier license of similar scope has been granted
under 37 CFR 5.13 or 5.14.
This license is to be retained by the licensee and may be used at any time on or after the effective date thereof
unless it is revoked. This license is automatically transferred to any related applications(s) filed under 37 CFR
1.53(d). This license is not retroactive.
The grant of a license does not in any way lessen the responsibility of a licensee for the security of the subject
matter as imposed by any Government contract or the provisions of existing laws relating to espionage and the
national security or the export of technical data. Licensees should apprise themselves of current regulations
especially with respect to certain countries, of other agencies, particularly the Office of Defense Trade Controls,
Department of State (with respect to Arms, Munitions and Implements of War (22 CFR 121-128)); the Office of
Export Administration, Department of Commerce (15 CFR 370.10 (j)); the Office of Foreign Assets Control,
Department of Treasury (31 CFR Parts 500+) and the Department of Energy.
NOT GRANTED
No license under 35 U.S.C. 184 has been granted at this time, if the phrase "IF REQUIRED, FOREIGN FILING
LICENSE GRANTED" DOES NOT appear on this form. Applicant may still petition for a license under 37 CFR
· 5.12, if a license is desired before the expiration of 6 months from the filing date of the application. If 6 months
· has lapsed from the filing date of this application and the licensee has not received any indication of a secrecy
·order under 35 U.S.C. 181, the licensee may foreign file the application pursuant to 37 CFR 5.15(b).
HPE EXHIBIT 1002 - 146/222

,_
Group No.:
Serial No.: 10/128, 756

Docket No. 062004-1930
Filed: Apnl 24, 2002
For: Estimating Channel Parameters in Multi-Input, Multi-Output (MIMO) Systems
RESPONSE TO MISSING PARTS NOTICE l
i-Ionorable Commissioner of Patents and Trademarks

Washington, b.c. 20231
'
q
Sir:
In response to the Notice to File Missing Parts of Application, Filing Date Granted, dated
May 24, 2002, please find enclosed:
1. Declaration and Power of Attorney;
2. a copy of the Notice to File Missing Parts of Application, Filing Date Granted;
and
3. a check in the amount of $130.00 to cover the additional surcharge fee for filing
this Response to the Missing Parts Notice.
The Commissioner is authorized to charge Deposit Account 20-0778 for any deficiencies
or credit any over payments.
Respectfully Submitted,

& Rls.&-.~"--1-.
Suite 1750, 100 Galleria Parkway

(770) 933-9500
HPE EXHIBIT 1002 - 147/222

·~ '
~
0 \ p .
""oti'
. JUl ' Q lll1l1 ;; CERTIFICATE OF MAILING
;;;:f
~ by certify that the below listed items are being deposited with the U.S. Postal
s first class mail in an envelope addressed to:

Box: Missing Parts
on _ _ 11_,_/_~4~/o_-z..._ _ __
Sfil.tRr
In Re Application Of: Mody, et al.
Group No.:
Serial No.: 10/128,756

Docket No. 062004-1930

t
.\
The following is a list of documents enclosed:
' Return Postcard
Response to Missing Parts
Copy of Notice of Missing Parts - Filing Date Granted
Declaration and Power of Attorney
Check in the amount of$130.00
MissingPartsResp
!
-2L
I
I HPE EXHIBIT 1002 - 148/222
UNITED STATES PATENT A.'ID TRADEMARK OrncE
COMMISSIONe:R FOR A>.T"..NlS
UN1TEO STATtS PAT!!NT ANO llw:JEMAAK OFFICE
-"""°"·WWW.IJSl)IO.gOll
o.c. .20231
APPLICATION NUMBER FU. ING/RECEIPT DA TE FIRST NAMED APPLICANT ATTORNEY DOcKET NUMBER
101128,756 04124/2002 Apruva N. Mody 062004-1930

. 24504 FORMALITIES LETTER ~
100 GALLERIA PARKWAY, NW 11nm~1m1111imim11111111 im im om m1ill~mm1111~1m1m
STE 1750.
·ocooooooooa1s11as·
··' Date Mailed: 05/24/2002
NOTICE TO FILE MISSING PARTS OF NONPROVISIONAL APPLICATION

07/16/2002 BABRAHA1 00000087 10128756
01 FC:105 130.00 OP FILED UNDER 37 CFR 1.53(b)
Filing Date Granted

I
~)
Items Required To Avoid Abandonment:
An application number and filing date have been accorded to this application. The item(s) indicated below,
however, are missing. Applicant is given TWO MONTHS from the date of this Notice within which to file all
. required items and pay any fees required below to avoid abandonment. Extensions of time may be obtained by
filing a petition accompanied by the extension fee under the provisions of 37 CFR 1.136(a).
• The oath or declaration is unsigned.

• To avoid abandonment, a late filing fee or oath or declaration surcharge as set forth in 37 CFR 1.16(1) of
$130 for a non-small entity, must be submitted with the missing items identified in this letter.
Items Required To Avoid Processing Delays:
The item(s) indicated below are also required and should be submitted with any reply to this notice to avoid
further processing de!ays.
SUMMARY OF FEES DUE:
Total additional fee(s) required for this application is $130 for a Large Entity DQC KETE D
• $130 Late oath or declaration Surcharge.
0111&1eee~ BAB!llllW-~2ee11a 10~
::;ESPONSE DUE *~
A copy of this notice MUST be returned with the reply.

HOR~~s. KAYOEN,
~ •c:R & RISLEY, LL.P.
MAY 3 1 2002
HPE EXHIBIT 1002 - 149/222

,, Page 2 of2
Customer Service Center

Initial Patent Examination Division (703) 308-1202
PART 2 - COPY TO BE RETURNED WITH RESPONSE
_,
HPE EXHIBIT 1002 - 150/222

, . Page2 of2

PART I -ATTORNEY/APPLICANT COPY
.'
HPE EXHIBIT 1002 - 151/222

'LAffATI~N FOR PATENT Af.P~ATION
Attorney Docket No: 062004-1930
: . . I/we.hereby state that I/we have reviewed and understand the contents of the above-identified
, s~·ecification, including the claims, as amended by any amendment referred to above.
I/we acknowledge the duty to disclose information which is material to the examination of this
application in accordance with Title 37, Code of Federal Regulations,§ 1.56.
I/we hereby claim the benefit under Title 35, United States Code, § 119 of any United States
provisional patent application, foreign application(s) for patent or inventor's certificate listed below and have
also identified below any United States provisional patent application, foreign application for patent or
inventor's certificate having a filing date before that of the above-identified application on which priority is
claim~d: U.S. provisional application entitled, "Channel Coefficient and Noise Variance Estimation for
Multi-Input, Multi-Output Systems," having serial no. 60/286,130, filed on April 24, 2001.
I/we hereby claim the benefit under Title 35, United States Code, § 120 of any United States patent
application(s) listed below and, insofar as the subject matter of each of the claims of this application is not
disclosed in the prior United States application in the manner provided by the first paragraph of Title 35,
.. United States Code, § 112, I/we acknowledge the duty to disclose material information as defined in Title 3 7,
Code of Federal Regulations, § 1.56 which occurred between the filing date of the prior application and the
national or PCT international filing date of this application: NOT APPLICABLE.
~
I/we hereby appoint the following attorneys/agents to prosecute this application and to transact all
business in the Patent and Trademark Office connected therewith: George M. Thomas, Reg. No. 22,260;
James W. Kayden, Reg. No. 31,532; Scott A. Horsfemeyer, Reg. No. 34,183; Stephen R. Risley, Reg. No.
35,659; Jeffrey R. Kuester, Reg. No. 34,367; Daniel R. McClure, Reg. No. 38,962; Daniel J. Santos,
Reg. No. 40,158; Dan R. Gresham, Reg. No 41,805; J. Scott Culpepper, Reg. No. 41,692; Michael J.
Tempel, Reg. No. 41,344; David R. Risley, Reg. No. 39,345; David L. Berdan, Reg. No. 41,614; Jon E.
Holland, Reg. No. 41,077; Ann I. Dennen, Reg. No. 44,651; M. Paul Qualey, Reg. No 43,024; Robert P.
Biddle, Reg. No. 35,826; Jennifer M. Gruber, Reg. No. 42,601; Peter A. Nieves, Reg. No. 48,173;
William F. Heinze, Reg. No. 36,161; Raymond W. Armentrout, Reg. No. 45,866; Robert A. Blaha, Reg.
No. 43,502; Cynthia J. Lee, Reg. No. 46,033; N. Andrew Crain, Reg. No. 45,442; Robert B. Dulaney III,
Reg. No. 47,539; Christopher B. Linder, Ph.D., Reg. No. 47,751; Adam E. Crall, Reg. No. 46,646;
Edwina T. Washington; Reg. No. 43,187; Scott M. Lohnes, Reg. No. 45,451; Sarni 0. Malas, Reg. No.
44,893; David Rodack, Reg. 47,034; Troy VanAacken, Reg. No. P50,847; Charles W. Griggers, Reg.
No. 47,283; Robert E. Staehler II, Reg. No. 36,934; David P. Kelley, Reg. No. 17,420; Eric M. Ringer,
Reg. No. 47,028; Charles E. Thorpe, Jr., Reg. No. 48,782, and Glenn W. Brown, Reg. No. 51,310.
Please address all telephone calls, in the first instance, to Scott A. Horstemeyer at telephone
number: (770) 933-9500.
Address all correspondence to: Scott A. Horstemeyer

& RISLEY, L.L.P.
100 Galleria Parkway, N.W., Suite 1750
HPE EXHIBIT 1002 - 152/222

A\
•
I \ Docket No. 062004-1930
Vwe hereby declare that all statements made herein of my/our own knowledge are true and that all
statements made on information and belief are believed to be true; and further that these statements were
made with the knowledge that willful false statement and the like so made are punishable by fine or
imprisonment, or both, under Section 1001 of Title 18 of the United States Code and that such willful false
ln"ntors Signature: 4/-""- ~

statements may jeopardize the validity of the application or any patent issued thereon.
Date: :ru,Jr!I I'< 2.oc'2.
Full Name of First or Sole Inventor: ""'A°"'p=-=u,_, r-'-v"'a_,,N.:. :·. :.M=:oo=d.,_y_ _ _ _ _ _ _ _ _ _ _ _ _ _ _ __

Residence: 250 14th St., N.W., #549, Atlanta, Georgia 30318 Citizenship:-'U""'S""A""----
Post Office Address: Same as residence
Full Name of Second Inventor: Gordon L. Stuber

-=-''-=-"==~c-===-=-=-----------------
R es id enc e: 1052 Arbor Trace, Atlanta, Georgia 30319 Citizenship:--=U:.:::S:..:.A-=------
Post Office Address: Same as residence
4. Inventor's S i g n a t u r e : - - - - - - - - - - - - - - - - Date: _ _ _ _ _ _ _ __
Full Name of Third Inventor:

Residence: _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ Citizenship: _ _ _ _ _ _ _ __
Post Office Address:
---------------------------
DeclarPOA-Short
HPE EXHIBIT 1002 - 153/222

•.•
.· PATENT
In Re Application of:
Mody, et al.
Group Art Unit: TBD
Serial No.: 10/128,756
Examiner: TBD
Docket No.: 062004-1930 .I
- For: Estimating Channel Parameters in Multi-Input, Multi-Output (MIMO) Systems
INFORMATION DISCLOSURE STATEMENT

Sir:
This information disclosure statement is filed in accordance with 37 C.F.R. §§ 1.56, 1.97, and 1.98, and specifically:
18] under 37 CFR 1.97(b), or

(within Three months of filing national application; or date of entry of international application; or before
mailing date of first office action on the merits; whichever occurs last)
D under 37 CFR 1.97(c) together with either a:

D Statement Under 37 C.F.R. l.97(e), or
D a$180.00feeunder37CFR 1.17(p),or
(After the CFR l .97(b) time period, but before the final office action or notice of allowance, whichever
occurs first)
D under 37 CFR 1.97(d) together with a:

D Statement under 37 CFR l .97(e), and
D a $180.00 petition fee set forth in 37 CFR 1.17(p).
(Filed after final office action or notice of allowance, whichever occurs first, but before payment of the
issue fee)
Enclosed is a check in the amount of$ . Please charge $ to deposit account . At any time during the
pendency of this application, please charge any fees required to Deposit Account pursuant to 37 CFR 1.25. The
Commissiener is hereby requested to credit any overpayment to Deposit Account No.
18] Applicant(s) submit herewith Form PTO 1449A - Jnformatipn Disclosure Statement by Applicant together with copies of
patents, publications or other information of which applicant(s) are aware, which applicant(s) believe(s) may or may not
be material to the examination of this application and for which there may be a duty to disclose In accordance with 3 7
CFR 1.56. As required by 37 C.F.R. § l.98(a), a legible copy of each document is provided.
D A concise explanation of the relevance of foreign language patents, foreign language publications and
other foreign language information listed on PTO Form 1449, as presently understood by the individual(s) designated in
3 7 CFR 1.56(c) most knowledgeable about the content is given on the attached sheet, or where a foreign language patent
is cited in a search report or other action by a foreign patent office in a counterpart foreign application, an English
language version of the search report or action which indicates the degree ofrelevance found by the foreign office is listed
on the form PTO 1449 and is enclosed herewith.
The following rights are reserved by the Applicant(s): the right to establish the patentability of the claimed invention
over any of the listed documents should they be applied as reference, and/or the right to prove that some of these documents
may not be prior art, and/or the right to prove that some of these documents may not be enabling for the teachings they purport
to offer.
HPE EXHIBIT 1002 - 154/222

This statement should not be construed as a representation that an exhaustive search has been made, or that
information more material to the examination of the present application does not exist. The Examiner is specifically requested
not to rely solely on the materials submitted herewith. The Examiner is requested to conduct an independent and thorough
review of the documents, and to form independent opinions as to their significance.
It is requested that the information disclosed herein be made of record in this application and that the Examiner initial and
return a copy of the enclosed PT0-1449 to indicate the documents have been considered.
Respectfully Submitted,
THOMAS, KA YDEN, HORSTEMEYER

& RISLEY, L.L.P.
By: .~U..-~
Glenn W. Brown, Reg. No. 51,310
100 Galleria Parkway, Suite 1750
770-933-9500
CERTIFIED MAILING
I hereby certify that this correspondence is being deposited

with the United States Postal Service as "First Class Mail,"
in an envelope addressed to: Assistant Commissioner of
Patents and Trademarks, Washington, D.C.
20231 on l
lo .)..o \ 1)2..
~ R, ~
Signature
-2-
HPE EXHIBIT 1002 - 155/222

\
.• p age I of I
Form PT0-1449 Attorney Docket No.
062004-1930 I Serial No.
10/128,756
INFORMATION DISCLOSURE ~t~~~ ~ Applicant
<g Mody, et al.
(Use several sheets ifnecessary, Jul o ' 11lli1 • .., Filing Date I Group
".!. Ii April 24, 2002 TBD
U.S.P~ 'liNT.!l~ENTS
Examiner Item Document Date
-- Name Class Subclass Filing Date
Initials Number If Appropriate
A 5,732,113 3/24/98 Schmidl, et al. 375 355
B 6,088,408 7/11/00 Calderbank, et al. 375 347
c 6,115,427 915100 Calderbank, et al. 375 267
D 6,125,149 9/26/00 ~afarkhani, et al. 375 262
E 6,185,258 2/6/01 IA!amouti, et al. 375 260
F 6,188,736 2/13/01 ILo, et al. 375 347
OTHER DOCUMENTS (!11c/udi11g Author, Title, Date, Pertinem Pages, etc.)
G !Mody, Apurva N. and Stuber, Gordon L., "Synchronization for MIMO OFDM Systems," School of Electrical and Computer
!Engineering, Georgia Institute of Technology, Atlanta, GA
H Mody, Apurva N. and Stuber, Gordon L., "Parameter Estimation for MIMO OFDM Systems," School of Electrical and
l::omputer Engineering, Georgia Institute of Technology, Atlanta, GA
I Schmidle, Timothy M. and Cox, Donald C., "Robust Frequency and Timing Synchronization for OFDM," IEEE Transactions
on Communications, Vol. 45, No. 12, December 1997, pp. 1613-1621.
J Alamouti, Siavash M., "A Simple Transmit Diversity Technique for Wireless Communications," IEEE Journal on Select Areas
·n Communications, Vol. 16, No. 8, October 1998 .
K ..,i, Ye (Geoffrey), Seshadri, Nambirajan, and Ariyavisitakul, Sirikiat, "Channel Estimation for OFDM Systems with
~ransminer Diversity in Mobile Wireless Channels," IEEE Journal on Selected Areas in Communications, Vol. 17, No. 3,
!March 1999.
L rrarokh, Vahid, Jafarkhani, Hamid, and Calderbank, A. Robert, "Space-Time Block Coding for Wireless Communications:
!Performance Results," IEEE Journal on Selected Areas in Communications, Vol. 17, No. 3, March 1999.
M !Mody, Apurva N. and Stuber, Gordon L., "Efficient Training and Synchronization Sequence Structures for MIMO OFDM,"
School of Electrical and Computer Engineering, Georgia Institute of Technology, Atlanta, GA 30332 and Wi-LAN, Wireless
:Oata Communications Inc., Atlanta, Georgia, pp. 1-7.
N Tarokh, Vahhid, Jafarkhani Hamid, and Calderbank, A.R., "Space· Time Block Codes from Orthogonal Designs," IEEE
Transactions on Information Theory, Vol. 45, No. 5, July 1999.
• EXAMINER: Initial if citation considered, whether or not citation is in confonnance with MPEP § 609. Draw line through citation if not in confonnance and
ltot considered. Include copy of this form with next communication to the applicant.
EXAMINER'S SIGNATURE: IDA TE CONSIDERED:
Patent and Trademark Office; U.S. DEPARTMENT OF COMMERCE
HPE EXHIBIT 1002 - 156/222

•
UNITED S'L\TES PATENT A.'ID TRADEMARK OFF!GE
Pagel of2
CoMMJSSlONER FOR Pll.n:ms

UNITC:D STATES PAT~ AND TRAOEMARK OFFICE
\\lll.SHIN01C>N, D.C. 20231
www.\JSl'.lto.gOY
APPLICATION NUMBER FILING/RECEIPT DATE FIRST NAMED APPLICANT ATTORNEY DOCKET NUMBER
10/128,756 04/24/2002 Apruva N. Mody 062004-1930

24504 FORMALITIES LETTER
100 GALLERIA PARKWAY, NW 1mm~m1mD1D1m DI DI mn~Dm ~m Ul~m fil~1111111 m1m
·ocooooooooa1 a11as·
STE 1750
NOTICE TO FILE MISSING PARTS OF NONPROVISIONAL APPLICATION
FILED UNDER 37 CFR 1.53(b)
Filing Date Granted
Items Required To Avoid Abandonment:
An application number and filing date have been accorded to this application. The item(s) indicated below,
however, are missing. Applicant is given TWO MONTHS from the date of this Notice within which to file all
required items and pay any fees required below to avoid abandonment. Extensions of time may be obtained by
filing a petition accompanied by the extension fee under the provisions of 37 CFR 1.136(a).
• The oath or declaration is unsigned.

• To avoid abandonment, a late filing fee or oath or declaration surcharge as set forth in 37 CFR 1.16(1) of
$130 for a non-small entity, must be submitted with the missing items identified in this letter.
Items Required To Avoid Processing DelaY.s:
The item(s) indicated below are also required and should be submitted with any reply to this notice to avoid
further processing delays.
SUMMARY OF FEES DUE:
Total additional fee(s) required for this application is $130 for a Large Entity
• $130 Late oath or declaration Surcharge.
A copy of this notice MUST be returned with the reply.
HPE EXHIBIT 1002 - 157/222

Page 2 of2

PART 3 - OFFICE COPY
HPE EXHIBIT 1002 - 158/222

O'{r-Cf-~ -OL
PTO/SB/05 (olo1)
A
Approved for use through 10/31/2002. OMB 0651~,°32 ~
Please type a plus sign(+) inside this box-.\+ I
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMl!P.CE 1
~
, Under the Papeiwork Reduction Act of 1995 no persons are required to respond to a collection of information unless it displays a valid OMB control number\.O
Attorney Docket No.
. -
I 062004.1930 en -.:i ~(\j
UTILITY I Mody, etal. ...:. '1
0
PATENT APPLICATION
First Inventor
Title I (MIMO) Systems
Channel Parameters in Multi-Input, Multi-Output \0...:::::
Estimating '
c:t'
tv)C) ~
TRANSMITTAL o--r '<I'
0
(Only for new nonprovisional applications under 37 CFR 1.53(b)) Express Mail Label No. EL924222125US .,..., §
\. I .J-=
APPLICATION ELEMENTS
See MPEP Chapter 600 concerning utility patent application contents
IADDRESS TO: Assistant Commissioner for Patents
Box Patent Application
Washin11ton, DC 20231
n APPLICANT REQUESTS EARLY PUBLICATION UNDER 37 CFR 1.219 (additional fee)

D
~
Fee Transmittal Form (e.g., PTO!SB/17) CD-ROM or CD-R in duplicate, large table or Computer
1. (Submit an original, and a duplicate for fee processing) 7. Program (Appendix)
2. Applicant claims small entity status. See CFR 1 .27 8. Nucleotide and/or Amino Acid Sequence Submission
D
(if apelicable, all necessary)
3.
Specification
(preferred arrangement set forlh below)
[Total Pages
~] a. Computer Readable Copy (CRF)
Descriptive title of the invention
B
Cross Reference to Related Applications Specification Sequence Listing on:
Statement Regarding Fed. Sponsored R&D
b.
Reference to sequence listing, a table, or a
computer program listing appendix i. CD-ROM or CD-R (2 copies); or
Background of the Invention Paper
ii.
- Brief Summary of the Invention
-
-
Brief Description of the Drawings (if filed)
Detailed Description
c. I I Statements verifying identity of above copies
- Claim(s) ACCOMPANYING APPLICATION PARTS

- Abstract of the Disclosure
9. D Assignment Papers (cover sheet & Documents(s))
4. 0 Drawing(s) (35 USC 113) [Total Sheets QJ 1 10.

D 37 CFR 3.73(b) Statement
(when there is an assignee)
D Powerof
Attorney
5. Oath or Declaration [Total Pages

QJ 1 11. D English Translation Document (if applicable)
D
a. 0 Newly Executed (original or copy) 12.
D Information Disclosure
Statement (IDS)/PT0-1449
Copies of IDS
Citations
b.
D Copy from a prior application (37 CFR l1.63(d))
(for continuation/divisional with Box 18 completed) 13.
D Preliminary Amendment
D
14.
0 Return Receipt Postcard (MPEP 503)
(Should be specifically itemized)
i. DELETION OF INVENTOR($)
Signed statement attached deleting inventor(s)
named in the prior application,
15.
D Certified Copy of Priority Document(s}
(if foreign priority is claimed)
see 37 CFR 1.63(d)(2) and 1.33(b). 16.

D Nonpublication Request under 35 U.S.C. 122(b)(2)(B)(i).
Applicant must attach form PTO/SB/35 or its equivalent.
6.
D Application Data Sheet. See 37 CFR 1.76
Assignee
17.
D Other:
Name and Address

fif annlicablel
1B. If a CONTINUING APPLICATION, check appropriate box, and supply the requisite information below and in a preliminary amendment,
or in an Application Data Sheet under 37 CFR 1. 76:
D Continuation D Divisional D Continuation-in-part (CIP) of prior application No: I
Prior application information: Examiner Group I Art Unit:
For CONTINUATION OR DIVISIONAL APPS only: the entire disclosure of the prior application, from which an oath or declaration is supplied under Box 5b, is considered a part of the
disclosure of the accompanying continuation or divisional application and is hereby incorporated by reference. This incorporation ~ be relied upon when a portion has been
inadvertently omitted from the submitted application parts.
18. CORRESPONDENCE ADDRESS
~ Customer Number or Bar Code Label 24504

(lnserl Customer No. or Attach bar code label here)
or D Correspondence address below
NAME
"'----·-
Scott A. Horstemeyer
Thomas, Kayden, Horstemeyer & Risley, L.L.P.
ADDRESS
--
100 Galleria Parkway
Suite 1750
CITY Atlanta STATE Georgia ZIP CODE I 30339-5948
COUNTRY U.S.A. TELEPHONE 770-933-9500 FAX I 770-951-0933
Name (Print/Type) Scott A. Horstemeyer
. ..... ,.,, I
I Registration No. (Attorney/Agent) 34,183
";.<
E:J.f I 2-'f-f 0 2...
f Date
Signature
~
••I
~
- A
I
Burden Hour Statement: This form is estimated to take 0.2 hours to complete. Tim!:iu vary depending upon the ncfls of the individual case. Any comments on the amount of time you arc required to complete th~ form sh~1ld be sc1:t tQ the
Chief Information Officer. U.S. Patent and Trademark Office. Washington. DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THlS ADDRESS. SEND TO: Assistant Commissioner for Patents, Box Patent Application,
Washington. DC 2023
HPE EXHIBIT 1002 - 159/222

PTO/SB/17 ( 11-01 )
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are reauired to resnond to a collection of information unless it displays a valid OMB control number.
FEE TRANSMITTAL Application Number

Complete If Known
TBA
for FY 2002 Filing Date

April 24, 2002
Mody, et al.
Patent fees are subject to annual revision. Examiner Name TBA
D Applicant claims small entity status. See 37 CFR 1.27 Group Art Unit TBA
TOTAL AMOUNT OF PAYMENT I ($)1100.00 Attorney Docket No. 062004-1930
METHOD OF PAYMENT (check all that armlv) FEES CALCULATION (continued)

D Check [gj Credit Card D Money D Other D None 3. ADDITIONAL FEES
Order Large Entity Small Entity
[gj Deposit Account Fee Fee Fee Fee Fee Description Fee
Code ($) Code ($) Paid
Deposit Account Number 20-0778 105 130 205 65 Surcharge-late filing fee or oath
I
127 50 227 25 Surcharge-late provisional filing
Deposit Account Name Thomas, Kayden, Horstemeyer Risley fee or cover sheet I
139 130 139 130 Non-English specification !
The Commissioner is authorized to: (check all that apply) 147 2,520 147 2,520 For filing a request for ex parte I
D Charge fee(s) indicated below D Credit any overpayments reexamination i

112 920* 112 920* Requesting publication of SIR
D Charge any additional fee(s) during the pendency of this application prior to Examiner action I!
D Charge fee(s) indicated below, except for the filing fee to the above-identified 113 1,840* 113 1,840* Requesting publication of SIR
tj
after Examiner action
deposit account
115 110 215 55 Extension for reply within first
FEE CALCULATION month
1. )BASIC FILING FEE 116 400 216 200 Extension for reply within second
Lar~e Entity Small Entity month
117 920 217 460 Extension for reply within third I I
Fe~ Fee Fee Fee Fee Description Fee
chae ($) Code ($) Paid 118 1,440 218 720
month
Extension for reply within fourth
f---~
I .
!GU 740 201 370 Utility Filing Fee 740.00 month ,---------1
128 1,960 228 980 Extension for reply within fifth . I
166.i 330 206 165 Design Filing Fee
119 320 219 160
month
Notice of Appeal
l--______j
H
lO"N 510 207 255 Plant Filing Fee
: ~~·
120 320 220 160 Filing a brief in support of an
p
100' 740 208 370 Reissue Filing Fee
appeal
li1i.f 160 214 80 Provisional Filing Fee 121 280 221 140 Request for oral hearing
>: SUBTOTAL (1) I ($)740.00

138 1,510 138 1,510 Petition to institute a public use
proceeding
2.' fEXTRA CLAIM FEES FOR UTILITY AND REISSUE 140 110 240 55 Petition to revive-unavoidable
fJ
'f" Extra Fee From Fee
a a :a
141 1,280 241 640 Petition to revive-unintentional
l~U Claims Below Paid
142 l,280 242 640 Utility issue fee (or reissue)
Total Claims -20**= x 18.00
!f:'2."
143 460 243 230 Design issue fee
h~endent Claims -3** = x 84.00
144 620 244 310 Plant issue fee
t1~11iple Dependent 280.00 122 Petitions to the Commissioner
130 122 130
~
123 50 123 50 Processing fee under
37 CFR J. J 7(q)
Lar!!e Entitv Small Entitv
126 180 126 180 Submission of Information
Fee Fee Fee Fee Fee Description Disclosure Stmt
Code ($) Code ($) 581 40 581 40 Recording each patent assignment
103 18 203 9 Claims in excess of 20 per property (times number of
properties)
102
104
109
84
280
84
202
204
209
42
140
42
Independent claims in excess of 3
Multiple dependent claim, if not paid
**Reissue independent claims over
146
149
740
740
246
249
370 Filing a submission after final
rejection
(37 CFR § l.129(a))
For each additional invention to be
H
370 i
~
original patent
l 10 18
I
210 9 **Reissue claims in excess of20 and 179 740 279 370 -m<dfor(3'Continued
Request CFR § ' noon
over original patent Examination (RCE) !
I 169 900 169 900 Request for expedited examination I

SUBTOTAL (2) I ($)360.00 of a design application
I Other fee (specify)
SUBTOTAL (3)
*Reduced by Basic Filing Fee Paid
**or number previouslv vaid, if f!.reater; For Reissues, see above

Submitted bv Complete (if applicable)
Name (Print/Type) Scott A. Horstemeyer Registration No.: 34, I 83 Telephone Number (770) 933-9500
(Attorney/ Agent)
t-c;;:::::::;::::;:~~~~--r--r"'::::?"'-:-Ti-:t-:::-1'.:oi;::::;;;i~-~====~--''--~~~~~~~~~~~tr'\:::-::-:~-;/-::-;-:-Y--~~~~-t-~~~~~~-------
1
S ignature l....L"" ,,.,..~•. i~~ 1 JV/J .. I/ Date 1.. 2-. Of{ lf J {)

l tJ . I I
WARNING: Information on this form may become public. Credit Card information should not be included on this form.
Provide credit card information and authorization on PT0-2038.
Burden Hour Sta~ement: Thi~ form is estimated to take 0.2 hours to complete. Time will vary depending upon the needs of the individual case. Any comments on the amount ohime you are required to complete this fo1m should
be sent to the Ch1eflnformat1on Officer, U.S. Patent and Trademark Office, Washington, DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THIS ADDRESS. SEND TO: Assistant Commissioner for Patents,
Washington, DC 20231.
HPE EXHIBIT 1002 - 160/222
PATENTS
In re: Mody, et al.
CERTIFICATE OF EXPRESS MAIL

BOX: Patent Application
Sir:
Enclosed for filing in the above case are the following documents:
Return Postcard
Utility Patent Application Transmittal Page
Fee Transmittal Page
Utility Patent Application Consisting Of:
32 Pages of Specification
12 Pages of Claims (Claims 1-40)
1 Page of Abstract
8 Pages ofFormal Drawings (Figs. 1-12)
Declaration and Power of Attorney (unexecuted)
Credit Card Payment Form in the amount of $1100.00
Further, the Commissioner is authorized to charge Deposit Account No. 20-0778 for any
additional fees required. The Commissioner is requested to credit any excess fee paid to Deposit
Scott A. Horstemeyer; Reg. No. 34,183
~MEYER & RISLEY, L.L.P.

100 Galleria Parkway, N.W.
Suite 1750
Our Docket No: 062004-1930
I hereby certify that all correspondence listed above are being deposited for delivery to
the above addressee, with the United States Postal Service "EXPRESS MAIL POST OFFICE
TO ADDRESSEE" service under 37 CFR §1.10 on the date indicated below:
The envelope has been given U.S. Postal Service "Express Mail Post Office To
Addressee" Package# EL 924222125 US. (2
Date: 4/~.tf.jr,2.-- -~--~---.~'-t--------
Sara Rogers
HPE EXHIBIT 1002 - 161/222

O'{r-Cf-~ -OL
PTO/SB/05 (olo1)
A
Approved for use through 10/31/2002. OMB 0651~,°32 ~
Please type a plus sign(+) inside this box-.\+ I
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMl!P.CE 1
~
, Under the Papeiwork Reduction Act of 1995 no persons are required to respond to a collection of information unless it displays a valid OMB control number\.O
Attorney Docket No.
. -
I 062004.1930 en -.:i ~(\j
UTILITY I Mody, etal. ...:. '1
0
PATENT APPLICATION
First Inventor
Title I (MIMO) Systems
Channel Parameters in Multi-Input, Multi-Output \0...:::::
Estimating '
c:t'
tv)C) ~
TRANSMITTAL o--r '<I'
0
(Only for new nonprovisional applications under 37 CFR 1.53(b)) Express Mail Label No. EL924222125US .,..., §
\. I .J-=
APPLICATION ELEMENTS
See MPEP Chapter 600 concerning utility patent application contents
IADDRESS TO: Assistant Commissioner for Patents
Box Patent Application
Washin11ton, DC 20231
n APPLICANT REQUESTS EARLY PUBLICATION UNDER 37 CFR 1.219 (additional fee)

D
~
Fee Transmittal Form (e.g., PTO!SB/17) CD-ROM or CD-R in duplicate, large table or Computer
1. (Submit an original, and a duplicate for fee processing) 7. Program (Appendix)
2. Applicant claims small entity status. See CFR 1 .27 8. Nucleotide and/or Amino Acid Sequence Submission
D
(if apelicable, all necessary)
3.
Specification
(preferred arrangement set forlh below)
[Total Pages
~] a. Computer Readable Copy (CRF)
Descriptive title of the invention
B
Cross Reference to Related Applications Specification Sequence Listing on:
Statement Regarding Fed. Sponsored R&D
b.
Reference to sequence listing, a table, or a
computer program listing appendix i. CD-ROM or CD-R (2 copies); or
Background of the Invention Paper
ii.
- Brief Summary of the Invention
-
-
Brief Description of the Drawings (if filed)
Detailed Description
c. I I Statements verifying identity of above copies
- Claim(s) ACCOMPANYING APPLICATION PARTS

- Abstract of the Disclosure
9. D Assignment Papers (cover sheet & Documents(s))
4. 0 Drawing(s) (35 USC 113) [Total Sheets QJ 1 10.

D 37 CFR 3.73(b) Statement
(when there is an assignee)
D Powerof
Attorney
5. Oath or Declaration [Total Pages

QJ 1 11. D English Translation Document (if applicable)
D
a. 0 Newly Executed (original or copy) 12.
D Information Disclosure
Statement (IDS)/PT0-1449
Copies of IDS
Citations
b.
D Copy from a prior application (37 CFR l1.63(d))
(for continuation/divisional with Box 18 completed) 13.
D Preliminary Amendment
D
14.
0 Return Receipt Postcard (MPEP 503)
(Should be specifically itemized)
i. DELETION OF INVENTOR($)
Signed statement attached deleting inventor(s)
named in the prior application,
15.
D Certified Copy of Priority Document(s}
(if foreign priority is claimed)
see 37 CFR 1.63(d)(2) and 1.33(b). 16.

D Nonpublication Request under 35 U.S.C. 122(b)(2)(B)(i).
Applicant must attach form PTO/SB/35 or its equivalent.
6.
D Application Data Sheet. See 37 CFR 1.76
Assignee
17.
D Other:
Name and Address

fif annlicablel
1B. If a CONTINUING APPLICATION, check appropriate box, and supply the requisite information below and in a preliminary amendment,
or in an Application Data Sheet under 37 CFR 1. 76:
D Continuation D Divisional D Continuation-in-part (CIP) of prior application No: I
Prior application information: Examiner Group I Art Unit:
For CONTINUATION OR DIVISIONAL APPS only: the entire disclosure of the prior application, from which an oath or declaration is supplied under Box 5b, is considered a part of the
disclosure of the accompanying continuation or divisional application and is hereby incorporated by reference. This incorporation ~ be relied upon when a portion has been
inadvertently omitted from the submitted application parts.
18. CORRESPONDENCE ADDRESS
~ Customer Number or Bar Code Label 24504

(lnserl Customer No. or Attach bar code label here)
or D Correspondence address below
NAME
"'----·-
Scott A. Horstemeyer
Thomas, Kayden, Horstemeyer & Risley, L.L.P.
ADDRESS
--
100 Galleria Parkway
Suite 1750
CITY Atlanta STATE Georgia ZIP CODE I 30339-5948
COUNTRY U.S.A. TELEPHONE 770-933-9500 FAX I 770-951-0933
Name (Print/Type) Scott A. Horstemeyer
. ..... ,.,, I
I Registration No. (Attorney/Agent) 34,183
";.<
E:J.f I 2-'f-f 0 2...
f Date
Signature
~
••I
~
- A
I
Burden Hour Statement: This form is estimated to take 0.2 hours to complete. Tim!:iu vary depending upon the ncfls of the individual case. Any comments on the amount of time you arc required to complete th~ form sh~1ld be sc1:t tQ the
Chief Information Officer. U.S. Patent and Trademark Office. Washington. DC 20231. DO NOT SEND FEES OR COMPLETED FORMS TO THlS ADDRESS. SEND TO: Assistant Commissioner for Patents, Box Patent Application,
Washington. DC 2023
HPE EXHIBIT 1002 - 162/222

PTO/SB/17 ( 11-01 )
U.S. Patent and Trademark Office: U.S. DEPARTMENT OF COMMERCE
Under the Paperwork Reduction Act of 1995, no persons are reauired to resnond to a collection of information unless it displays a valid OMB control number.
FEE TRANSMITTAL Application Number

Complete If Known
TBA
for FY 2002 Filing Date

April 24, 2002
Mody, et al.
Patent fees are subject to annual revision. Examiner Name TBA
D Applicant claims small entity status. See 37 CFR 1.27 Group Art Unit TBA
TOTAL AMOUNT OF PAYMENT I ($)1100.00 Attorney Docket No. 062004-1930
METHOD OF PAYMENT (check all that armlv) FEES CALCULATION (continued)

D Check [gj Credit Card D Money D Other D None 3. ADDITIONAL FEES
Order Large Entity Small Entity
[gj Deposit Account Fee Fee Fee Fee Fee Description Fee
Code ($) Code ($) Paid
Deposit Account Number 20-0778 105 130 205 65 Surcharge-late filing fee or oath
I
127 50 227 25 Surcharge-late provisional filing
Deposit Account Name Thomas, Kayden, Horstemeyer Risley fee or cover sheet I
139 130 139 130 Non-English specification !
The Commissioner is authorized to: (check all that apply) 147 2,520 147 2,520 For filing a request for ex parte I
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HPE EXHIBIT 1002 - 163/222
PATENTS
In re: Mody, et al.
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Sara Rogers
HPE EXHIBIT 1002 - 164/222

ESTIMATING CHANNEL PARAMETERS
IN MULTI-INPUT, MULTI-OUTPUT (MIMO) SYSTEMS
CROSS-REFERENCE TO RELATED APPLICATIONS
5 This application claims priority to copending U.S. provisional application
entitled "Parameter Estimation for MIMO OFDM Systems," having serial no.
60/286,130, filed on April 24, 2001, which is entirely incorporated herein by
reference.
This application is related to copending U.S. provisional application entitled,
10 "Synchronization for MIMO OFDM Systems," having serial no. 60/286, 180, filed
April 24, 2001, which is entirely incorporated herein by reference.
TECHNICAL FIELD OF THE INVENTION
The present invention is generally related to wireless communication systems
15 that employ Orthogonal Frequency Division Multiplexing (OFDM). More
particularly, the present invention is related to an apparatus and method for estimating
channel parameters in a Multi-Input, Multi-Output (MIMO) OFDM system.
BACKGROUND OF THE INVENTION
20 In wireless communication systems, recent developments have been made
using technologies wherein multiple signals are simultaneously transmitted over a
single transmission path. In Frequency Division Multiplexing (FDM), the frequency
spectrum is divided into sub-channels. Information (e.g. voice, video, audio, text,
etc.) is modulated and transmitted over these sub-channels at different sub-carrier
25 frequencies.
HPE EXHIBIT 1002 - 165/222

TKHR Docket No. 062004-1920
In Orthogonal Frequency Division Multiplexing (OFDM) schemes, the sub-
carrier frequencies are spaced apart by precise frequency differences. Because of the
ability of OFDM systems to overcome the multiple path effects of the channel, and to
transmit and receive large amounts of information, much research has been performed
5 to advance this technology. By using multiple transmitting antennas and multiple
receiving antennas in OFDM systems, it is possible to increase the capacity of
transmitted and received data while generally using the same amount of bandwidth as
in a system with one transmit and one receive antenna.
OFDM technologies are typically divided into two categories. The first
10 category is the Single-Input, Single-Output (SISO) scheme, which utilizes a single
transmitting antenna to transmit radio frequency (RF) signals and a single receiving
antenna to receive the RF signals. The second category is the Multi-Input, Multi-
Output (MIMO) scheme, which uses multiple transmitting antennas and multiple
receiving antennas.
15 In typical communication systems, training symbols, or preamble, at the
beginning of data frames, are usually added as a prefix to the data symbols. The data
symbols, of course, include the useful data or information (e.g., voice, data, video,
etc.), which is meant to be transmitted to a remote location. The training symbols in
SISO systems are used to provide synchronization of the received signals with respect
20 to the transmitted signals, as well as to provide channel parameter estimation.
Although training symbols used for SISO systems can be used to provide
synchronization in a MIMO system, the training symbols cannot provide for channel
parameter estimation in the MIMO system. In fact, no method or apparatus exists for
MIMO systems that is capable of providing time and frequency synchronization as
25 well as channel parameter estimation. Thus, a need exists for a method and apparatus
HPE EXHIBIT 1002 - 166/222

that is capable of providing time and frequency synchronization in MIMO systems and
can further perform channel estimation.
SUMMARY OF THE INVENTION
5 The present invention provides systems and methods that overcome the
deficiencies of the prior art as mentioned above. The present invention utilizes a
sequence of training symbols or preambles that may be used in both Single-Input,
Single-Output (SISO) and Multi-Input, Multi-Output (MIMO) systems, using any
number of transmitting and receiving antennas. An embodiment of the present
10 invention comprises an apparatus that can be used to estimate channel parameters
across which a data frame is transmitted in a MIMO system. In conjunction with a
synchronization scheme, the parameter estimator calculates an accurate estimation of
the characteristics of the channel, thereby making the MIMO systems operational.
The present invention achieves an accurate estimation of channel parameters and
15 further achieves synchronization in the time domain and frequency domain and,
therefore, enables MIMO systems to operate acceptably.
One MIMO Orthogonal Frequency Division Multiplexing (OFDM) system of
the present invention includes a number of OFDM modulators, which provide data
frames to be transmitted across a channel. The data frames of the present invention
20 comprise one or more training symbols, a plurality of data symbols, and cyclic
prefixes inserted between the data symbols. A number of transmitting antennas
corresponding to the number of modulators are used to transmit the modulated signals
over the channel. A number of receiving antennas are used to receive the transmitted
signals. The received signals are demodulated by a number of OFDM demodulators
25 corresponding to the number of receiving antennas and decoded by an OFDM
HPE EXHIBIT 1002 - 167/222

decoder, which processes the data frames. By utilizing the structure embedded in the
training symbols, the MIMO system of the present invention is capable of providing
time and frequency synchronization as well as perfom1 channel estimation.
A method of the present invention is also provided, wherein parameter
5 estimation is carried out in a MIMO system. The method includes producing data
frames comprising at least one training symbol, multiple data symbols and cyclic
prefixes. The data frames are transmitted over the channel, received, demodulated,
and processed. By processing the training symbol of the data frame, an estimation of
the parameters of the channel may be achieved from the data frame.
10 Other systems, methods, features, and advantages of the present invention will
become apparent to a person having skill in the art upon examination of the follovving
drawings and detailed description. All such additional systems, methods, features,
and advantages are within the scope of the present invention.
15 BRIEF DESCRIPTION OF THE DRA\VlNGS
Many aspects of the invention can be better understood with reference to the
following drawings. Moreover, in the drawings, like reference numerals designate
corresponding parts throughout the several views.
FIG. 1 is a block diagram illustrating an example embodiment of a Multi-
20 Input, Multi-Output (MIMO) Orthogonal Frequency Division Multiplexing (OFDM)
system.
FIG. 2 is a block diagram illustrating an example embodiment of the MIMO
encoder shown in FIG. 1.
FIG. 3 is a block diagram illustrating an example embodiment of one of the
25 OFDM modulators shown in FIG. 1.
HPE EXHIBIT 1002 - 168/222

FIG. 4 illustrates an example frame structure for a MIMO OFDM system.
FIG. 5 is a block diagram illustrating an example matrix of a transmitted
sequence structure and an example matrix of a received sequence structure using the
modulator/demodulator arrangement shown in FIG. 1.
5 FIG. 6 illustrates a three-dimensional representation of the received sequence
structure in detail.
FIG. 7 is a block diagram illustrating an example embodiment of one of the
OFDM demodulators shown in FIG. 1.
FIG. 8 is a block diagram illustrating an example embodiment of the decoder
10 shown in FIG. 1.
FIG. 9 is a flow chart of a first embodiment of a method for calculating fine
channel estimates.
FIG. 10 is a flow chart of a second embodiment of a method for calculating
fine channel estimates.
15 FIG. 11 is a flow chart of an example embodiment of a method for calculating
noise variance estimates when the signal transmission matrices are unitary.
FIG. 12 is a flow chart of an example embodiment of a method for calculating
noise variance estimates when the signal transmission matrices are not unitary.
20 DETAILED DESCRIPTION OF THE PREFERRED EMBODIMENT
In FIG. 1, an example embodiment of a Multi-Input, Multi-Output (MIMO)
Orthogonal Frequency Division Multiplexing (OFDM) communication system 6 of
the present invention is shown. The communication system 6 in this example
embodiment may be implemented as a wireless system for the transmission and
25 reception of data across a wireless channel 19. The communication system 6, for
HPE EXHIBIT 1002 - 169/222

example, may be part of a wireless Local Area Network (LAN) system or wireless
Metropolitan Area Network (MAN) system, cellular telephone system, or other type
of radio or microwave frequency system incorporating either one-way or two-way
communication over a range of distances. The communication system 6 may transmit
5 in a range from 2 to 11 GHz, for example, such as in the unlicensed 5.8 GHz band
using a bandwidth of about 3-6 MHz.
It is also possible for the present invention to be used in a system that
comprises an array of sub-channel communication links that carry a number of signals
transmitted by a number of transmitting elements to each of a number of receiving
10 elements. In this latter case, communication links, such as wires in a wiring harness
or some alternative wired transmission system, for example, could be used over the
distance between a data source and a receiver.
In the example embodiment of FIG. 1, a transmitter 8 transmits signals across
the wireless channel 19 and a receiver 10 receives the transmitted signals. The
15 transmitter 8 comprises a data source 12, which provides the original binary data to be
transmitted from the transmitter 8. The data source 12 may provide any type of data,
such as, for example, voice, video, audio, text, etc. The data source 12 applies the
data to an encoder 14, which encodes the data to allow for error correction. The
encoder 14 further processes the data so that certain criterion for space-time
20 processing and OFDM are satisfied. The encoder 14 separates the data onto multiple
paths in the transmitter 8, each of which will hereinafter be referred to as a transmit
diversity branch (TDB). The separate TDBs are input into OFDM modulators 16,
each of which modulates the signal on the respective TDB for transmission by the
transmitting antennas 18. The present invention may be used in a Single-Input,
25 Single-Output (SISO) system, which may be considered as a special case of MIMO
HPE EXHIBIT 1002 - 170/222

wherein the number of transmitting and receiving antennas is one. In the SISO system
example, separation of the data by the encoder 14 is not necessary since only one
OFDM modulator 16 and antenna 18 is used.
During the encoding by the encoder 14 and modulating by the OFDM
5 modulators 16, data is normally bundled into groups such that the collection of each
group of data is referred to as a "frame." Details of the frame as used in the present
invention will be described in more detail below with reference to FIG. 4. Each frame
along each TDB is output from a respective OFDM modulator 16. As illustrated in
FIG. 1, any number of OFDM modulators 16 may be used. The number of OFDM
10 modulators 16 and respective transmitting antennas 18 may be represented by a
variable "Q." The OFDM modulators 16 modulate the respective frames at specific
sub-carrier frequencies and respective transmitting antennas 18 transmit the
modulated frames over the channel 19.
On the side of the receiver 10, a number "L" of receiving antennas 20 receives
15 the transmitted signals, which are demodulated by a number L of respective OFDM
demodulators 22. The number L may represent any number and is not necessarily the
same as the number Q. In other words, the number Q of transmitting antennas 18 may
be different from the number L ofreceiving antennas 20, or they may alternatively be
the same. The outputs of the demodulators 22 are input into a decoder 24, which
20 combines and decodes the demodulated signals. The decoder 24 outputs the original
data, which may be received by a device (not shown) that uses the data.
The communication system 6 may comprise one or more processors,
configured as hardware devices for executing software, particularly software stored in
computer-readable memory. The processor can be any custom made or commercially
25 available processor, a central processing unit (CPU), an auxiliary processor among
HPE EXHIBIT 1002 - 171/222

several processors associated with a computer, a semiconductor based microprocessor
(in the form of a microchip or chip set), a macroprocessor, or generally any device for
executing software instructions. Examples of suitable commercially available
microprocessors are as follows: a PA-RISC series microprocessor from Hewlett-
5 Packard Company, an 80x86 or Pentium series microprocessor from Intel
Corporation, a PowerPC microprocessor from IBM, a Spare microprocessor from Sun
Microsystems, Inc, a 68xxx series microprocessor from Motorola Corporation, or a
67xxx series Digital Signal Processor from the Texas Instruments Corporation.
When the communication system 6 is implemented in software, it should be
10 noted that the communication system 6 can be stored on any computer-readable
medium for use by or in connection with any computer-related system or method. In
the context of this document, a computer-readable medium is an electronic, magnetic,
optical, or other physical device or means that can contain or store a computer
program for use by or in connection with a computer related system or method. The
15 communication system 6 can be embodied in any computer-readable medium for use
by or in connection with an instruction execution system, apparatus, or device, such as
a computer-based system, processor-containing system, or other system that can fetch
the instructions from the instruction execution system, apparatus, or device and
execute the instructions. In the context of this document, a "computer-readable
20 medium" can be any means that can store, communicate, propagate, or transport the
program for use by or in connection with the instruction execution system, apparatus,
or device. The computer-readable medium can be, for example but not limited to, an
electronic, magnetic, optical, electromagnetic, infrared, or semiconductor system,
apparatus, device, or propagation medium. Examples of the computer-readable
25 medium include the following: an electrical connection having one or more wires, a
HPE EXHIBIT 1002 - 172/222

portable computer diskette, a random access memory (RAM), a read-only memory
(ROM), an erasable programmable read-only memory (EPROM, EEPROM, or Flash
memory), an optical fiber, and a portable compact disc read-only memory (CDROM).
Note that the computer-readable medium could even be paper or another suitable
5 medium upon which the program is printed, as the program can be electronically
captured, via for instance optical scanning of the paper or other medium, then
compiled, interpreted or otherwise processed in a suitable manner if necessary, and
then stored in a computer memory.
In an alternative embodiment, where the communication system 6 is
10 implemented in hardware, the communication system can be implemented with any or
a combination of the following technologies, which are each well known in the art:
one or more discrete logic circuits having logic gates for implementing logic functions
upon data signals, an application specific integrated circuit (ASIC) having an
appropriate combination oflogic gates, a programmable gate array (PGA), a field
15 programmable gate array (FPGA), etc.
The encoder 14 and OFDM modulators 16 of the transmitter 8 will now be
described with respect to FIGS. 2 and 3. FIG. 2 shows details of an example
embodiment of the encoder 14 shown in FIG. 1. The encoder 14 may be configured
such that data from the data source 12 is encoded by a channel encoder 26, which adds
20 parity to the original data to produce channel encoded data. The channel encoder 26
encodes the data using a scheme that is recognized by the decoder 24 of the receiver
10 and enables the decoder 24 to detect errors in the received data. Errors may arise
as a result of environmental conditions of the channel 19 or noise inadvertently added
by the transmitter 8 or receiver 10.
HPE EXHIBIT 1002 - 173/222

The encoder 14 further includes a symbol mapper 28, which maps the channel-
encoded data into data symbols. The symbol mapper 28 groups a predetermined
number of bits such that each group of bits constitutes a specific symbol chosen from
a pre-determined alphabet. The symbol mapper 28 further lays out a stream of data
5 symbols within the structure of a frame.
The encoder 14 further includes a space-time processor 30 that processes the
data symbol stream received from the symbol mapper 28 and outputs the processed
data symbols via the respective TDBs. The space-time processor 30 encodes the data
symbol stream in a manner such that the receiver 10 is capable of decoding the
10 signals. The data symbols in the TDBs are distributed over Q lines that will
eventually be transmitted at precise frequencies spaced apart from each other by a
predetermined difference in frequency. By providing a specific frequency difference
between the multiple sub-channels, orthogonality can be maintained, thereby
preventing the OFDM demodulators 22 from picking up frequencies other than their
15 own designated frequency.
Each TDB provides an input to a respective adder 34. The other input into
each of the adders 34 is connected to the output of a pilot/training symbol inserter 32,
which provides pilot symbols and training symbols to be inserted into the frames on
the TDBs. Symbols inserted periodically within the data symbols will be referred to
20 herein as "pilot symbols." These periodic pilot symbols may be inserted anywhere in
the stream of the data symbols. If a continuous burst of symbols is inserted by the
pilot/training symbol inserter 32, this type of symbol will be referred to herein as
"training symbols" which constitute the preamble. The training symbols preferably
are inserted at the beginning of the frame. However, the training symbols may be
10
HPE EXHIBIT 1002 - 174/222

inserted onto the frame in a location other than at the beginning of the frame, such as
at the end or in the middle of the frame.
The pilot/training symbol inserter 32 may be configured so that it is capable of
storing multiple sets of training symbols or pilot symbols. In this case, a particular set
5 may be selected, for example, based on desirable communication criteria established
by a user. The training symbols for each respective sub-channel may preferably be
unique to the particular sub-channel. In order to accommodate amplitude differences
between the sub-channels, the training symbols may be designed and adjusted to
maintain a constant amplitude at the output of each sub-channel.
10 Training symbols are preferably transmitted once for every frame. Training
symbols are used for periodic calibration (synchronization and channel parameter
estimation) whereas pilot symbols are used for minor adjustments to deal with the
time-varying nature of the channel. The training symbols may be indicative of
calibration values or known data values. These calibration values or known values
15 may be transmitted across the channel, and used to calibrate the communication
system 6. Any necessary refinements may be made to the communication system 6 if
the received calibration values do not meet desirable specifications.
Furthermore, the training symbols may be used as specific types of calibration
values for calibrating particular channel parameters. By initially estimating these
20 channel parameters, offsets in the time domain and frequency domain may be
accounted for so as to calibrate the communication system 6. The training sequence
may or may not bypass an Inverse Discrete Fourier Transform (IDFT) stage 38, which
is a part of the embodiment of the OFDM modulator 16 of FIG. 3. A training
sequence that bypasses the IDFT stage 38 and is directly input into a digital to analog
25 converter (DAC) 44 is referred to herein as a directly modulatable training sequence.
1I
HPE EXHIBIT 1002 - 175/222

Examples of such training sequences may be "chirp-like" sequences. These sequences
cover each portion of the bandwidth used by the communication system 6. Hence,
channel response can be easily determined. In general, a chirp sequence in the time
domain is given by the equation:
5 s, ~co{:,} jsin(:,'} n ~ 0,1, .. .,N -1,
where j is given by ~ and is used to denote the quadrature component of the
signal. It should be noted that the term Sn refers to a time domain signal on the side of
the transmitter 8. Frequency domain signals on the transmitter side will hereinafter be
referenced by capital letters Sk. Time and frequency domain signals on the receiver
10 side will hereinafter be written as rn and Rb respectively. Other modifications of the
chirp-like sequence may be Frank-Zadoff sequences, Chu sequences, Milewski
sequences, Suehiro polyphase sequences, and sequences given by Ng et al. By
observing the response of the receiver 10 to the chirp signals, the channel parameters
may be estimated.
15 In the case when the IDFT stage 38 is not bypassed, a training sequence may
be generated by modulating each of the symbols on the TDBs with a known sequence
of symbols in the frequency domain and passing the symbols through the IDFT stage
38. Generally, such a known sequence of symbols is obtained from an alphabet which
has its constituents on the unit circle in the complex domain and such that the
20 resultant sequence in the time domain has a suitable Peak to Average Power Ratio
(P APR). The term "alphabet" in communication systems is defined as a finite set of
complex values that each of the symbols can assume. For example, an alphabet of a
binary phase shift keying (BPSK) system consists of values + 1 and -1 only. An
alphabet for a quaternary phase shift keying (QPSK) system consists of the values 1+j,
12
HPE EXHIBIT 1002 - 176/222

-l+j, 1-j, and -1-j. For example, the training sequence may be generated by
modulating each of the tones of the OFDM block using a BPSK alphabet, which
consists of symbols + 1 and -1. The synchronization scheme may be very general such
that any known sequence having suitable properties, such as low P APR, may be used
5 to form the training sequence.
With reference again to FIG. 2, the adders 34 add the training symbols and
pilot symbols to the frame. Other embodiments may be used in place of the adders 34
for combining the training symbols and pilot symbols with the data symbols in the
frame. Furthermore, the adders 34 may include additional inputs to allow for
10 flexibility when adding the pilot/training symbols or in the combining of multiple
training symbols or even selectable training symbols. After the training symbols are
inserted into frames on the respective TDBs, the frames are output from the encoder
14 and input in respective OFDM modulators 16.
FIG. 3 shows an example embodiment of an OFDM modulator 16, which
15 receives signals along one of the TDBs. The number of OFDM modulators 16 is
preferably equal to the number of transmitting antennas 18. In SISO systems, there is
only one OFDM modulator 16 and one transmitting antenna 18. In MIMO systems,
there may be any number of OFDM modulators 16 and transmitting antennas 18.
The respective signal from the encoder 14 is input into a serial-to-parallel
20 converter 36 of the OFDM modulator 16. The serial-to-parallel converter 36 takes N
symbols received in a serial format and converts them into a parallel format. The
variable N will be referred to herein as the blocksize of the OFDM symbol. The N
parallel symbols are processed by an Inverse Discrete Fourier Transform (IDFT) stage
38, which transforms the frequency signals to the time domain. The N number of
25 transfom1ed symbols in the time domain will be referred to herein as samples.
13
HPE EXHIBIT 1002 - 177/222

A method is proposed herein to design the training symbols such that the
transforms of all the sequences from the IDFT stage 38 will have a constant
magnitude. By maintaining a constant magnitude at the output of each of the IDFT
stages 38 within their respective modulators, one of the main problems of OFDM, i.e.,
5 peak to average power ratio (P APR), is solved. The receiver 10 can thus more
accurately estimate the channel parameters, which are used by the receiver 10 to
synchronize the received signals in the time and frequency domains, as will be
described below in more detail.
The output from the IDFT stage 38 is input into a cyclic prefix inserter 40,
10 which inserts an additional number of samples for every N samples. The number of
samples inserted by the cyclic prefix inserter 40 will be referred to herein by the
variable "G." The G samples are intended to be inserted as guard intervals to separate
the N adjacent data symbols from each other in time by a separation adequate to
substantially eliminate Inter Symbol Interference (ISI). The cyclic prefix inserter 40
15 repeats G samples from a latter portion of the N samples output from the IDFT stage
38 and inserts the G samples as a prefix to each of the data samples. Preferably, the
time length of the cyclic prefix is greater than the maximum time delay of a
transmitted signal across the channel 19. Since the nature of the channel 19 may be
susceptible to a variation in the delay time from the transmitted antennas 18 to the
20 receiving antennas 20, it may be desirable to increase, or even double, the length of
cyclic prefixes of the preamble to ensure that the time delay of the channel does not
exceed the time of the cyclic prefix, thereby eliminating ISL
The G+N samples, herein referred to as an OFDM symbol, are then converted
from a parallel format to a serial format using parallel-to-serial converter 42, and then
25 inputted to a digital-to-analog converter (DAC) 44 for conversion into analog signals.
14
HPE EXHIBIT 1002 - 178/222

The output from the DAC 44 is input into a mixer 48. A local oscillator 46 provides a
signal having the carrier frequency to the other input of the mixer 48 to up-convert the
respective OFDM symbol from baseband to RF.
After the respective frame has been mixed with a carrier frequency that is set
5 by the respective local oscillator 46, the frame is amplified by an amplifier 50. As
indicated above, one of the drawbacks to any OFDM signal is that it generally has a
high PAPR. To accommodate this drawback, the amplifier 50 may be backed off to
prevent it from going into its non-linear region. However, the present invention may
provide certain specific sequences that can be used in order to make the P APR
10 minimal or unity.
Each OFDM modulator 16 preferably comprises the same components as the
OFDM modulator 16 shown in FIG. 3. Other techniques for designing the OFDM
modulators 16 may be used in order to transmit the multiple frames across the channel
19 with minimal interference. Each frame output from the respective OFDM
15 modulator 16 is transmitted by a respective antenna 18. The antennas 18 may be
spaced apart from each other by any desirable separation. For example, the separation
distance may be in a range from a few millimeters to several meters.
FIG. 4 illustrates an example of a frame 52 that is transmitted across the
channel 19 from the transmitting antennas 18 to the receiving antennas 20. The frame
20 52 comprises a preamble 54 comprising a number of training symbols N 1 and cyclic
prefixes G. The preamble 54 is inserted by the pilot/training symbol inserter 32 as
mentioned above. In addition, the data frame 52 comprises a data portion 56
consisting of a plurality of OFDM data symbols N and cyclic prefixes G, which are
inserted before each of the OFDM data symbols N. As previously mentioned, the
25 pilot/training symbol inserter 32 further inserts pilot symbols (not shown)
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HPE EXHIBIT 1002 - 179/222

intermittently within the OFDM data symbols N. The task of the preamble 54 and
training symbols N 1 in the frame is to help the receiver 10 identify the arrival of the
frame 52 and hence perform time synchronization, frequency synchronization, and
channel parameter estimation.
5 The preamble 54, in general, consists of Q or more training symbols, wherein
each training symbol has a length of G+N1 samples in time. The number of samples
N 1 is established as a certain fraction of the number of data samples N in an OFDM
block such that N 1=N/I, where I is an integer, such as 1, 2, 4 .... For example, N 1 may
be~ N. Ifno predetermined N 1 has been established, the variable Ni maybe given the
10 value equal to N. The training symbol length may be shorter than the length of the
symbols in the data portion 56, which has a length of G+N samples.
FIG. 5 shows a portion of the MIMO OFDM communication system 6 of FIG.
1 along with details of a signal transmission matrix S and a received demodulated
OFDM sample matrix R. The signals of the communication system 6 can be
15 expressed using the equation:
R k,Txl =S k,T xQ11 k,Qxl +Wk,T xl
where R is a TX L received demodulated OFDM sample matrix, 11 is a QX L matrix of
channel coefficients that are indicative of the characteristics of the channel across
which the signals are transmitted, S is a TX Q signal transmission matrix, and W is a
20 TX L noise matrix that corrupts and distorts the received sample matrix R. In general,
T may or may not be equal to Q. However, for simplicity, T is assumed to be equal to
Q herein.
The signal transmission matrix S shown in FIG. 5 consists of Q OFDM
symbols that are simultaneously transmitted from Q transmit antennas 18 over Q or
16
HPE EXHIBIT 1002 - 180/222

more OFDM symbol periods (T5 ). For example, at a first time instance t, the OFDM
symbols S 1, S 2, ••• SQ are transmitted from the first to the Qth antennas 18. At a
second time instance t+Ts, the OFDM symbols SQ+ 1, SQ+ 2 , •.• S 2Q are transmitted
from the same antennas 18. The OFDM symbol transmissions are repeated at each
5 time instance until all of the OFDM symbols of the matrix Shave been transmitted.
During the transmission of training symbols in an initial calibration mode, the
S matrix consists of Q or more training symbols, each of which is less than or equal to
the length of an OFDM symbol in the time dimension. The training symbols are
simultaneously transmitted from the transmitting antennas 18 as represented by
10 equations (1) and (2), wherein the different antennas correspond to the space
dimension.
During the transmission of the data symbols, after the communication system
6 has been calibrated, the S matrix consists of Q or more data symbols each occupying
an OFDM symbol in the time dimension. The pilot/training symbol inserter 32 inserts
15 the pilot symbols within the data symbols. The data symbols are encoded, modulated,
and transmitted from the transmitting antennas 18.
Each signal transmission matrix S of QX Q OFDM symbols are transmitted
over the communication channel 19, which naturally comprises a matrix of channel
coefficients 11· Typically, the communication channel 19 further includes
20 characteristics that distort and degrade the transmitted signal, thereby adding a noise
matrix W, before the signal transmission matrix S is received at the L receive
antennas 20.
FIG. 5 further illustrates how each of the L receiving antennas 20 receives
each of the Q transmitted signals. For example, the first receive antenna 20 receives
25 OFDM signals over channel impulse responses h 11 , h 21 , h 3 1 .•• ho 1 from the first to
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the Qth transmitting antennas 18, respectively. The term hi,j refers to the channel
impulse response from the ith transmit to the fh receive antenna in the time domain.
The last receive antenna 20 receives the transmitted signals over the channel impulse
responses h 1L, h2 L, h 3 L, ... hQL from the first to the Qth transmitting antennas 18,
5 respectively. For simplicity, only the signals received at the first and last receiving
antennas 20 are shown. However, it should be understood that each receiving antenna
20 receives the signals transmitted from the Q transmitting antennas 18.
The received signals are demodulated by the respective OFDM demodulators
22, which provide the received demodulated OFDM sample matrix R. At a time
10 instance t, the samples Ri, RQ+i, ... ~L-I)Q+l are received. At a next time instance t +
Ts, the samples R 2 , RQ+ 2 ..• RcL-I)Q+ 2 are received. The samples are received at each
time instance until all of the samples in the received demodulated OFDM sample
matrix R are received. It should be noted that the time instances used for the matrices
S and R are given the same variable, but, in essence, a delay occurs as is well known
15 in the art.
A significant task of the receiver 10 is to estimate the time of arrival of the
transmitted signal. This process is called "time synchronization." In addition to time
synchronization, OFDM systems typically require frequency synchronization as well.
Because there usually exists a certain difference between the local oscillator
20 frequencies of the transmitter and the receiver, the received signals experience a loss
of sub-carrier orthogonality, which should typically be corrected in order to avoid
degradation in system performance.
FIG. 6 shows a detailed illustration of the received demodulated OFDM
sample matrix R which consists of L columns and Q or more rows of OFDM symbols
25 with respect to space and time, respectively. As shown, the matrix R consists of three
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HPE EXHIBIT 1002 - 182/222

dimensions, namely space, time and frequency. The frequency axis indicates the
amplitude of the frequency component received at each receiving antenna 20 from
each transmitting antenna 18. Each of the matrices Rand 11 can be seen to consist of
either N matrices of dimension QX Lor QX L vectors oflength N.
5 In general, the training symbol length may be equal to the data symbol length.
However, it is not necessary for the length of the training symbol in the preamble to be
(N+G) since it is possible to estimate the characteristics of the channel even if the
training symbol length is shortened to N 1+G such that (Ni+G)<(N+G). The variable
Nr may be set so as to establish a range of frequencies that may be estimated. For
10 example, ifN1 =N/4, then a frequency offset of 4 sub-carrier spacings can be estimated
using the training symbol. However, the range to be established may depend upon the
characteristics of the channel to be estimated.
Transmission of the training sequence oflength N1 corresponds to exciting
every Ith sub-channel of an OFDM signal having a block size N. This means that no
15 information is transmitted on the remaining (1-1/I)N sub-channels and the estimates of
the channel for the sub-channels are derived from the ones that actually include
information.
The sub-channels of the transmit sequence that bear no information are said to
be zero-padded. Alternatively, the training sequence of length N 1 may be generated by
20 first modulating every Ith sub-channel of the OFDM block by a known sequence of
symbols and zero padding the rest. An N-point IDFT is taken to obtain N samples in
the time domain, and finally only the first Ni samples along with its cyclic prefix are
transmitted. At the receiver after synchronization, the samples corresponding to the
training sequence of length Ni are repeated I times before being demodulated by the
25 OFDM demodulators. In a number of alternative systems, many more sub-channels
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HPE EXHIBIT 1002 - 183/222

are zero padded to reduce the interference between the adjacent bands and to facilitate
the system implementation. For example, in the systems based on the IEEE 802.16a;b
standard, a total of 56 tones or sub-carriers are zero padded.
The training sequence structure in the frequency domain is represented by its
5 signal transmission matrix, which is configured in such a way so as to have certain
properties that aid in synchronization and channel estimation. For example, the signal
transmission matrix for a 2X 2 system maybe of the form:
s = [ s.1,k sl,k
s*I,k ,
J (1)
k -s*1,k
where * denotes a complex conjugate operation, and k is a sub-carrier or sub-channel

10 index. The signal transmission matrix S for a 4X 4 system may be of the form:
sl,k s1 k sl,k sl,k

'
-sl,k slk -sl,k sl,k

sk
'
(2)
-S1 k s1,k sl,k - Stk
'
-sl,k -SI,k s1,k s1,k
where S1 is the sequence in the frequency domain that has certain properties that
satisfy the system requirements. Similarly, the signal transmission matrix S for a 3X 3
system may be of the form:
s3,k
sl,k s2,k
12
s3,k
- s* 2,k s*i.k
s - 12 (3)
15
k -
s* 3,k s* 3,k - Su -s*i,k +s 2,k
- s* 2k
12 12 2
s* 3,k - s* 3k s2.k + s* 2,k + s1,k - s*,,k
12 12 2
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HPE EXHIBIT 1002 - 184/222

The rows of the signal transmission matrix represent the time dimension, the
columns represent the space dimension and the index k represents the frequency
dimension or the corresponding sub-carrier. The transmitter 8 may create the matrix
Sk such that it is unitary. If the vectors of the training sequences are derived from the
5 points along the unit circle in the complex domain then the signal transmission
matrices Sk shown in (1) and (2) are unitary. Besides making each of the transmission
matrices Sk unitary, it also facilitates the system implementation and maintains a low
P APR of the sequence structure in the time domain. This is because the signal
transmission matrices in the training mode and the data mode are exactly alike, which
10 further simplifies the system implementation. The transmission of a unitary matrix
aids in parameter estimation, as is described below.
With reference again to FIG. 1, the L number of receiving antennas 20 receive
the Q number of transmitted signals and provide the received signals to respective
OFDM demodulators 22, which down-convert the signal back to baseband. The L
15 number of receiving antennas 20 are separated by a distance such that the received
signals have minimum correlation and are as independent from each other as possible.
The outputs from the L number of OFDM demodulators 22 are input into a decoder
24, which combines the multiple signals and decodes them. In addition, the decoder
24 removes any correctable noise and distortion errors, as will be described below,
20 and outputs signals representative of the original data.
FIG. 7 illustrates an example embodiment of one of the OFDM demodulators
22 of the receiver 10. Received signals from the receiving antenna 20 are input into a
pre-amplifier 57, which amplifies the received signals to a level at which further
processing may be performed. The output of the pre-amplifier 57 is connected to a
25 mixer 58. A local oscillator 59 provides a signal to the mixer 58 having a frequency
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HPE EXHIBIT 1002 - 185/222

designed to demodulate the received amplified signal. The demodulated signal is then
output to an analog-to-digital converter (ADC) 60, which converts the analog signals
into discrete time samples. The discrete time samples are applied to a synchronization
circuit 61.
5 An explanation will now be made to emphasize the significance of
synchronization in an OFDM system. OFDM typically requires substantial
synchronization in time as well as in frequency in order that transmitted signals can be
recovered with adequate accuracy. Time synchronization involves determining the
best possible time for the start of the received frame to closely match the start of the
10 transmitted signal.
Frequency synchronization involves maintaining orthogonality of the
respective sub-carrier frequencies. Orthogonality refers to a condition of the sub-
carrier frequencies wherein the "inner product" of the signals at different sub-carrier
frequencies is zero. With respect to the inner product, reference is made, for example,
15 to the time domain sequences s 1,n wherein n=O, 1, ... N-1 and the sub-carrier index k
is equal to 1. When the sub-carrier index k is equal to 2, the time domain sequences
s2 , n are transmitted. The inner product is equal to L (s 1, n) * (s2 , n) wherein n=O, 1, ...
N-1. When the inner product is not equal to zero, a loss of sub-channel orthogonality
may result, thereby causing Inter Carrier Interference (ICI). Since the sub-channels
20 are separated by a precise frequency difference to maintain orthogonality, any
difference in frequencies between the transmitter and the receiver local oscillators may
cause a loss of sub-channel orthogonality. The synchronization circuit 61 corrects this
loss of sub-channel orthogonality by finding an estimate of the difference between the
frequencies of the local oscillators 46 of the transmitter 8 and the frequencies of the
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HPE EXHIBIT 1002 - 186/222

local oscillators 59 of the receiver 10. The synchronization circuit 61 further corrects
these frequency difference estimates.
The frequency and time synchronized information is provided to the cyclic
prefix remover 62, which removes the cyclic prefixes inserted between each block of
5 N symbols. The blocks of N samples are then serial-to-parallel converted using serial-
to-parallel converter 63 and the parallel signals are input to a Discrete Fourier
Transform (DFT) stage 64, which converts the time domain samples back to the
frequency domain, thus completing synchronization and demodulation by the OFDM
demodulators 22.
10 Referring again to FIG. 1, the L number of demodulated signals from each of
the L number of OFDM demodulators 22 are then input into the decoder 24, which
processes the demodulated signals. The decoder 24 may be configured in the manner
shown in the example embodiment of FIG. 8. The decoder 24 comprises a space-time
processor 110 and a parameter estimator 112. Both the space-time processor 110 and
15 parameter estimator 112 receive the signals from each of the L number of OFDM
demodulators 22.
An output from the parameter estimator 112 is input into a symbol demapper
116 and a set of outputs is input into the space-time processor 110. The output of the
space-time processor 110 is converted from parallel to serial by a parallel-to-serial
20 converter 114 and then input to the symbol demapper 116, which maps the symbols
from the predetermined alphabet back to the data bits. The output from the symbol
demapper 116 is input into a channel decoder 118. The channel decoder 118 decodes
the data symbols by checking the parity that was added to the symbols prior to
transmission. Thus, the channel decoder 118 detects and corrects errors in the data
25 symbols and outputs the data in its original fonn. There can be an exchange of
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HPE EXHIBIT 1002 - 187/222

information between the parameter estimator 112, symbol demapper 116, and channel
decoder 118 to create a feedback loop. If the channel decoder 118 detects too many
errors in the training symbol such that correction of the errors is no longer possible,
then an "excessive-error" indication is made to the parameter estimator 112, which
5 adjusts and corrects its estimates.
An explanation of the parameter estimator 112 will now be made. The
parameter estimator 112 estimates characteristics of the channel across which the
communication signals are transmitted. These channel characteristics or parameters
may include, for example, the channel coefficient matrix T], signal to noise ratio
10 (SNR), noise variance, time correlation, and frequency correlation. Having
knowledge of the unique channel parameters enables the receiver 10 to compensate
for the various distortions introduced by the channel. Since the receiver 10 does not
have prior knowledge of the channel parameters, the parameter estimator 112
calculates an estimation of the channel parameters, based on the training sequence
15 transmitted by the transmitter 8. However, because of the complex processing
involved with the synchronization circuit 61 to provide time and frequency
synchronization and frequency offset estimation, there is a need to design algorithms
of the parameter estimator 112 having relatively low complexity to adhere to stringent
timing constraints. On the other hand, there is a need for the algorithms to be highly
20 effective for accurately estimating the channel parameters.
Before performing parameter estimation, the received OFDM samples
belonging to the training symbols oflength Ni, and a copy of the transmitted training
sequences of length N 1 are repeated I times and their N-point FFT are taken to convert
the received OFDM sample matrix Rand the OFDM signal transmission matrix S to
25 have their dimension in the frequency domain to be N.
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TKHRDocketNo. 062004-1920
FIG. 9 shows a first embodiment of a method performed by the parameter
estimator 112 for calculating channel estimates. The parameter estimator 112 derives
its estimates using a Least Squares (LS) method. If a certain number T of training
symbols are transmitted from all the Q transmit antennas, where T:2:Q, then the LS
5 estimates are obtained as
k = OJ,. .. , NI -1
where the signal transmission matrix S for each of the sub-carriers has T rows and Q
columns. The channel estimates so obtained minimize the error between the
estimated channel coefficient matrix and the actual channel coefficient matrix for each
tone. It should be noted that the N 1 channel coefficient matrices so obtained are only
representative of those tones that were excited in the transmitted sequence. The
channel coefficient matrix for all the other tones are set to zero.
Further, if LS method is used along with the use of the signal transmission
matrices such as the ones shown in (1) and (2), only Q OFDM symbols of a
15 generalized length N1 are needed to estimate the channel coefficients accurately. In
absence of any noise, the parameter estimator 112 provides the exact estimates of the
channel coefficient matrices. This type of parameter estimator is called a zero-forcing
estimator. Also, by using the LS method, the hardware complexity is reduced
considerably since the same circuitry can be used for the data symbols as well as the
20 training symbols.
Hence, if the transmitter 8 creates the transmitting matrices S such that the
matrices are unitary as described above, then the preamble may be formed having only
Q symbols. By using only Q symbols of any generalized length Ni, useful bandwidth
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HPE EXHIBIT 1002 - 189/222

is preserved for the transmission of data. Furthermore, the training symbols may be
created having fewer than Q symbols, and may even be created having one symbol.
The method of FIG. 9 comprises a first step (block 120) for calculating coarse
channel estimates of the channel coefficient matrix using an LS method and/or a Zero
5 forcing method, if the Sks are unitary. The coarse channel estimates may be calculated
by a formula such as:
- H 5-1 - k = 0,l, ... ,N 1 -1

Ilk = Sk · Rk = k · Rk = 'lk +Wk
An aim of the channel estimation algorithm is to estimate the channel
10 coefficients for all the sub-carriers. However, when N 1 is not equal to N, the channel
coefficients are available for only N 1 sub-carriers since the received OFDM training
symbol of length N 1 was repeated I times before passing through the DFT stage 64.
To estimate the sub-carriers that were not excited, a frequency domain interpolation
procedure is performed, as indicated by block 124. When the channel comprises a
15 bandwidth that is substantially coherent, a simple linear interpolation scheme may be
used to estimate the unexcited sub-carriers. Of course, when I is high, more sub-
carriers are estimated from less information, which results in an increase in the mean
square error (MSE) in the channel estimates. In the case of increased MSE, a more
complex interpolation scheme may be used. Therefore, there is a tradeoffbetween the
20 greater training sequence overhead to minimize the estimation errors, allowing a
simpler interpolation scheme to be used, and a lesser training sequence overhead to
avoid taking up useful bandwidth, requiring a more complex interpolation scheme.
Once frequency interpolation has been carried out, flow proceeds to a step of
reducing the mean square error (block 126). Since the MSE of the channel estimates
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HPE EXHIBIT 1002 - 190/222

of the LS estimator is typically high, it is usually desirable to reduce the MSE. One
way of reducing MSE involves three steps, wherein a first step includes multiplying
the coarse channel estimate with the inverse matrix F- 1, which is the inverse of a
unitary Fourier transform matrix F given by:
1 1 1
N-1
1 (j) (j)
F =-1- 1 2·(N-l)
5 (j)2 (j)
JN
(j)N-1
1
where w=e2 tif1N. This multiplication operation may be expressed as:
g.
-IJ =IFFTN f17 .. }=F-
. ez._IJ
1
{Y/ . + WIJ··}
-lj -
JNH..y,m (O)+w y,m

.. Os msG-1}
{ Wij,m GsmsN -1.
where 1 is less than or equal to i which is less than or equal to Q and 1 is less than or
10 equal to j which is less than or equal to L. The Q*L number of length-N vectors are
then made to go through a windowing operation, which reduces the effect of noise
variations in the channel and ICL The windowing operation recovers the time
domain fine channel estimates whereby:
h
1J,n1
={gij,m
0
0 s ms (G-1)
111 2:: G
15 The time domain fine channel estimates are then converted to frequency domain fine
channel estimates by performing a Fast Fourier Transform (FFT) on the time domain
fine channel estimates wherein:
=n
'..!..ij
+Jiv
-i}
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HPE EXHIBIT 1002 - 191/222

The reduction of the MSE by the previous steps provides accurate estimates of the
channel parameters. The parameter estimator 112 outputs these fine channel estimates
to the space-time processor 110 in order to compensate for the unique channel
parameters. Other than the method mentioned above to reduce the MSE in LS
5 channel estimates, one can follow a number of different methods for reducing MSE,
such as performing a smoothing procedure in the frequency domain, a Linear
Prediction (LP) procedure, a method where decisions are fed back to the parameter
estimator, a decision directed update procedure, etc.
Alternative to the embodiment of FIG. 9, another embodiment for calculating
10 fine channel estimates is illustrated in FIG. 10. This embodiment refers to the case
mentioned earlier when a large number of sub-carriers of the OFDM symbols are zero
padded to facilitate the system implementation. Again, it is assumed that the signal
transmission matrix S may or may not be unitary and the training sequence includes Q
training symbols. In this alternative embodiment, a first step (block 130) includes
15 zero padding the recommended sub-carriers in the training sequence. For example, in
a system that meets the IEEE 802.16a/b standard, sub-carriers at DC and 55 others at
high frequencies are set to zero. This sub-carrier elimination step simplifies the
system implementation and further avoids adjacent channel interference. For such
systems, the above-mentioned method of MSE reduction typically cannot be applied
20 directly since the channel estimates are not available for the zero-padded sub-carriers.
For such systems, the sub-carrier frequencies that are eliminated may be initially
estimated using frequency domain extrapolation on the existing LS estimates. The
channel estimates at DC can be calculated by taking an average of the channel
estimates for the positive and negative frequencies. The estimates of the eliminated
25 sub-carrier frequencies are used to reduce the MSE in the channel estimates but are
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HPE EXHIBIT 1002 - 192/222

otherwise ignored since no data is transmitted on these sub-carriers. Once channel
estimates for all the sub-carriers are available, the procedure for MSE reduction
mentioned above, along with a procedure for noise variance estimation that is
described below, can be implemented. In a later step, the fine channel estimates for
5 the zero-padded sub-carriers may be discarded.
After the zero-padding of tones, represented by step 130 in FIG. 10, the coarse
channel estimates are calculated using the LS method and/or Zero forcing estimation,
as indicated by block 134. This step is identical to the corresponding step 120 of FIG.
9. Block 136 includes the step of performing interpolating in the :frequency domain.
10 This step is identical to step 124 of FIG. 9. \\Then :frequency domain interpolation has
been completed, the method of FIG. 10 proceeds to block 138 where a :frequency
domain extrapolation takes place. Frequencies at the low and high ends are
extrapolated based on the existing middle frequencies in order to arrive at the
estimates for these :frequencies.
15 At this point, a reduction in the MSE is calculated, as indicated in block 140.
All of the frequencies in the bandwidth, including the eliminated :frequencies are used
in the reduction.ofthe MSE. Otherwise, step 140 is the same as step 126 of FIG. 9.
Since only the MSE-reduced estimates of a selected range of transmitted sub-carrier
frequencies are used, the unused frequencies outside the transmission bandwidth are
20 discarded, as indicated in block 142. Thus, the fine estimates of the channel
parameters having been obtained at the end of block 142, the parameter estimator 112
outputs the fine channel estimates to the space-time processor 110.
In addition to the estimation of channel parameters, the parameter estimator
112 may further calculate estimates of the "noise variance," which is a parameter
25 representing the power of the extraneous unwanted noise present in the signal. The
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noise variance is based on the coarse channel estimates and can be obtained for each
of the receiving antennas 20.
FIG. 11 shows an embodiment of a noise variance estimation method. Block
150 indicates a step wherein noise variance estimates for each of the receive antennas
5 can be calculated. Assuming that the signal transmission matrices S are unitary, the
noise variance estimates can be obtained directly from the coarse channel estimates
using the following formula:
where gij,n is the coefficient of the time domain coarse channel estimates for the ith
10 transmit andfh receive antennas obtained from the parameter estimator 112. The noise
variance is calculated for each of the j receive antennas.
In case the signal transmission matrix is not unitary, then the noise variance
estimation is a little more complex. This alternative noise variance estimation method
is shown in FIG 12. A noise term is determined by subtracting the matrices of the
15 fine channel estimates from the matrices of the coarse channel estimates, whereby the
coarse channel estimates and fine channel estimates are obtained from the parameter
estimator 112 as described above with reference to the channel estimation methods of
FIGs. 9 and 10. Calculation of the noise terms is shown using block 152 and can be
represented using the following equation:
20 k=0,1,. .. ,N-1.
The next step includes multiplying the matrices Gk' with the signal transmission
matrices Sk as is represented by block 154 and as is given by the following equation:
k = 0,1, ... ,N-l.
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TKHRDocketNo. 062004-1920
The next step is to convert the frequency domain coefficients to the time domain,
which is represented using block 156 and can be described using the following
equation.
w ..
-!I
= IDFTJG .. }
l'.-lf
1 ~ i ::;; Q, 1 ::;; j ::;; L
5 Finally, the estimates of the noise variance at each of the receive antennas can be
calculated using block 158 and is described using the following equation:
The parameter estimator 112 may include software stored in memory, wherein
the software may include one or more separate programs, each of which comprises an
10 ordered listing of executable instructions for implementing logical functions. In the
example ofFIGs. 9-12, the software may include the parameter estimator system in
accordance with the present invention and a suitable operating system (O/S).
Examples of suitable commercially available operating systems are as follows: a
Windows operating system available from Microsoft Corporation; a Netware
15 operating system available from Novell, Inc.; a Macintosh operating system available
from Apple Computer, Inc.; a UNIX operating system available from the Hewlett-
Packard Company, Sun Microsystems, Inc., or AT&T Corporation; a LINUX freeware
operating system that is readily available on the Internet; a run time Vxworks
operating system available from WindRiver Systems, Inc.; an appliance-based
20 operating system, such as that implemented in a handheld computer or personal data
assistant (PDA) (e.g., PalmOS available from Palm Computing, Inc. or Windows CE
available from Microsoft Corporation). The O/S essentially controls the execution of
other computer programs, such as the parameter estimation system, and provides
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HPE EXHIBIT 1002 - 195/222

scheduling, input-output control, file and data management, memory management,
and communication control and related services.
The parameter estimator 112 can be implemented in hardware, software,
firmware, or a combination thereof. In the embodiments of the present invention, the
5 parameter estimator 112 can be implemented in software or firmware that is stored in
a memory and that is executed by a suitable instruction execution system. If
implemented in hardware, as in an alternative embodiment, the synchronization
system can be implemented with any or a combination of the following technologies,
which are all well known in the art: a discrete logic circuit having logic gates for
10 implementing logic functions upon data signals, an application specific integrated
circuit (ASIC) having appropriate combinational logic gates, a programmable gate
array (PGA), a field programmable gate array (FPGA), digital signal processor (DSP),
etc.
It should be emphasized that the above-described embodiments of the present
15 invention are merely possible examples of implementations, merely set forth for a
clear understanding of the principles of the invention. Many variations and
modifications may be made to the above-described embodiments of the invention
without departing substantially from the principles of the invention. All such
modifications and variations are intended to be included herein within the scope of
20 this disclosure and protected by the following claims.
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CLAIMS
We claim:
1 1. An apparatus for estimating channel parameters in a Multi-Input,
2 Multi-Output (MIMO) Orthogonal Frequency Division Multiplexing (OFDM) system,
3 the apparatus comprising:
4 a number Q of OFDM modulators, each OFDM modulator producing a frame
5 comprising at least one inserted symbol, a plurality of data symbols, and cyclic
6 prefixes;
7 said number Q of transmitting antennas, each transmitting antenna connected
8 to a respective OFDM modulator, for transmitting said frame over a channel;
9 a number L of receiving antennas for receiving the transmitted frames;
10 said number L of OFDM demodulators, each OFDM demodulator
11 corresponding to a respective receiving antenna; and
12 an OFDM decoder, connected to the output of each of the L OFDM demodulators, the
13 OFDM decoder comprising a parameter estimator which processes the received frame
14 in order to estimate the parameters of the channel.
I 2. The apparatus of claim 1, wherein the cyclic prefixes protect the data
2 symbols against Inter Symbol Interference (ISI).
I 3. The apparatus of claim 1, wherein the at least one inserted symbol has
2 at least one pilot symbol inserted within the data symbols or at least one training
3 symbol inserted at the beginning of the frame.
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HPE EXHIBIT 1002 - 197/222

1 4. The apparatus of claim 1, wherein the parameter estimator comprises a
2 circuit for calculating channel estimates.
1 5. The apparatus of claim 4, wherein the parameter estimator comprises a
2 circuit for calculating coarse channel estimates using at least one of a least squares
3 method and a zero-forcing method.
1 6. The apparatus of claim 5, wherein the parameter estimator further
2 comprises a circuit for interpolating values in the frequency domain.
2 comprises a circuit for reducing the mean square error of the coarse channel estimates.
2 comprises a circuit for zero-padding unused tones.
2 comprises a circuit for extrapolating values in the frequency domain.
2 comprises a circuit for discarding unused tones.
11. The apparatus of claim 1, wherein Q is equal to L.
1 12. The apparatus of claim 11, wherein Q is equal to one.
34
HPE EXHIBIT 1002 - 198/222

1 13. The apparatus of claim 1, wherein Q equals two.
1 14. The apparatus of claim 1, wherein Q is not equal to L.
1 15. The apparatus of claim 1, wherein the OFDM encoder comprises:
2 a channel encoder;
3 a symbol mapper connected to an output of the channel encoder;
4 a space-time processor connected to an output of the symbol mapper, the
5 space-
6 time processor separating data into a plurality of sub-channels; and
7 a pilot/training symbol inserter, which inserts pilot symbols and training
8 symbols
9 onto the sub-channels.
35
HPE EXHIBIT 1002 - 199/222

1 16. The apparatus of claim 1, wherein each of the Q OFDM modulators
2 compnses:
3 a serial-to-parallel converter;
4 an inverse discrete Fourier transform (IDFT) stage connected to an output of
5 the serial-to-parallel converter;
6 a cyclic prefix inserter connected to an output of the IDFT stage;
7 a parallel-to-serial converter connected to an output of the cyclic prefix
8 inserter;
9 a digital-to-analog converter (DAC) connected to an output of the parallel-to-
10 serial converter;
11 a local oscillator;
12 a mixer having a first input and a second input, the first input connected to an
13 output of the DAC, the second input connected to an output of the local oscillator; and
14 an amplifier connected to an output of the mixer.
36
HPE EXHIBIT 1002 - 200/222

17. The apparatus of claim 1, wherein the OFDM demodulator comprises:
2 a pre-amplifier;
3 a local oscillator;
4 a mixer having a first input and a second input, the first input connected to an
5 output of the pre-amplifier, the second input connected to an output of the local
6 oscillator;
7 an analog-to-digital converter (ADC) connected to an output of the mixer;
8 a synchronization circuit having one input connected to an output of the ADC;
9 a cyclic prefix remover connected to an output of the synchronization circuit;
10 a serial-to-parallel converter connected to an output of the cyclic prefix
11 remover;
12 a discrete Fourier transform (DFT) stage connected to an output of the serial-
13 to-parallel converter, an output of the DFT stage connected to another input to the
14 synchronization circuit.
37
HPE EXHIBIT 1002 - 201/222

1 18. The apparatus of claim 1, wherein the OFDM decoder comprise:
2 a space-time processor that has a first set of inputs, a second set of inputs, and a
3 first set of outputs, wherein the first set of inputs receives samples from each of the L
4 OFDM demodulators and the second set of inputs receives estimates of channel p
5 arameters from the parameter estimator;
6 the parameter estimator further comprising a first set of inputs, a second input,
7 a first set of outputs, and a second output, wherein the first set of inputs receives
8 samples from each of the L OFDM demodulators, and the second input receives
9 feedback from a channel decoder;
10 a parallel-to-serial converter connected to the first set of outputs from the
11 space-time processor;
12 a symbol demapper having a first input a second input, a third input and a first
13 output wherein the first input is connected to an output of the parallel-to-serial
14 converter, the second input connected to the second output of parameter estimator,
15 and the third input connected to a feedback from the channel decoder; and
16 the channel decoder, connected to an output of the symbol demapper.
38
HPE EXHIBIT 1002 - 202/222

19. A method for estimating parameters of a channel across which signals
2 in a Multi-Input Multi-Output (MlMO) Orthogonal Frequency Division Multiplexing
3 (OFDM) system are transmitted, the method comprising the steps of:
4 producing a frame of data comprising a preamble that includes a calibration
5 component which aids in parameter estimation, a plurality of data symbols, and a
6 plurality of cyclic prefixes;
7 transmitting the frame over a channel;
8 receiving the transmitted frame;
9 demodulating the received frame; and
10 calculating the estimates of the channel parameters from the received
11 demodulated frame.
20. The method of claim 19, wherein the step of producing comprises
2 producing a preamble that aids in synchronization and parameter estimation.
1 21. The method of claim 19, wherein the step of producing comprises
2 producing a preamble of a generalized length having a number of OFDM symbols less
3 than a number of transmitting antennas.
2 producing a preamble of a generalized length having a number of OFDM symbols
3 equal to a number of transmitting antennas.
39
HPE EXHIBIT 1002 - 203/222

2 producing a preamble of a generalized length having a number of OFDM symbols
3 greater than a number of transmitting antennas.
2 producing a preamble whose signal transmission matrix resembles an existing space-
3 time block code.
2 producing cyclic prefixes in the preamble and in the data symbols such that the cyclic
3 prefixes in the preamble are longer than the cyclic prefixes in the data symbols,
4 thereby countering the extended channel impulse response and improving the
5 synchronization performance.
1 26. The method of claim 19, wherein the step of calculating comprises
2 calculating fine channel estimates.
1 27. The method of claim 26, wherein the step of calculating fine channel
2 estimates comprises:
3 calculating coarse channel estimates using a least squares method or a zero-
4 forcing method;
5 interpolating the channel estimates in the frequency domain;
6 reducing the mean square error of the coarse channel estimates.
40
HPE EXHIBIT 1002 - 204/222

1 28. The method of claim 27, wherein the step of reducing the mean square
2 error comprises:
3 performing an IDFT operation on the coarse channel estimates to convert the
4 coarse channel estimates to the time domain;
5 performing a \Vindowing operation; and
6 performing a Fast Fourier Transform (FFT) operation.
29. The method of claim 27, wherein the step of reducing the mean
2 squared error comprises at least one of a linear prediction procedure, a procedure for
3 averaging the coarse channel estimates in the :frequency domain, a procedure for
4 averaging the coarse channel estimates in the time domain, a procedure for utilizing a
·::..;:
5 decision feedback equalizer, a decision directed procedure, a procedure utilizing a
6 feedback from the channel decoder, a procedure for filtering the coarse channel
7 estimates in the :frequency domain, and a procedure for processing the coarse channel
8 estimates in the time or :frequency domain.
41
HPE EXHIBIT 1002 - 205/222

30. The method of claim 26, wherein the step of calculating the fine
2 channel
3 estimates comprise:
4 zero-padding in the frequency domain to eliminate certain frequency
5 components from the OFDM signal;
6 calculating coarse channel estimates using a least squares method;
7 employing a zero-forcing method to calculate the coarse channel estimates;
8 interpolating the channel estimates in the frequency domain;
9 extrapolating frequency domain values;
10 reducing the mean square error of the coarse channel estimates; and
11 discarding the unused tones.
31. The method of claim 30, wherein the step of reducing the mean
2 squared error comprises at least one of a linear prediction procedure, a procedure for
3 averaging the coarse channel estimates in the frequency domain, a procedure for
4 averaging the coarse channel estimates in the time domain, a procedure for utilizing a
5 decision feedback equalizer, a decision directed procedure, a procedure utilizing a
6 feedback from the channel decoder, a procedure for filtering the coarse channel
7 estimates in the frequency domain, and a procedure for processing the coarse channel
8 estimates in the time or frequency domain.
32. The method of claim 19, wherein the step of calculating comprises
2 calculating a noise variance.
42
HPE EXHIBIT 1002 - 206/222

1 33. The method of claim 32, wherein the step of calculating noise variance
2 estimates comprises calculating noise variance estimates for a unitary signal
3 transmission matrix.
1 34. The method of claim 33, wherein the step of calculating noise variance
2 estimates comprises calculating the noise variance estimates directly from time
3 domain coefficients of coarse channel estimates.
1 35. The method of claim 32, wherein the step of calculating the noise
2 variance estimates comprise calculating noise variance estimates for a non-unitary
3 signal transmission matrix.
36. The method of claim 35, wherein the step of calculating the noise
2 variance estimates comprises the steps of:
3 calculating a noise term from coarse channel estimates and fine channel
4 estimates;
5 multiplying the noise term by the signal transmission matrix;
6 calculating time domain noise estimate vectors; and
7 determining a noise variance estimation from the time domain noise estimate
8 vectors.
1 37. The method of claim 32, wherein the noise variance represents the
2 power of the extraneous unwanted noise present in the signals.
43
HPE EXHIBIT 1002 - 207/222

1 38. A method for estimating channel parameters in a Multi-Input, Multi-
2 Output (MIMO) system, the method comprising:
3 creating a preamble containing characteristics for calibrating the MIMO
4 system;
5 forming a signal transmission matrix that comprises the preamble;
6 solving a system of linear equations; and
7 calculating a coarse channel estimation from the result of the step of solving
8 the system of linear equations.
1 39. The method of claim 38, wherein the step of solving the system of
2 linear equations comprises the step of performing a least squares method.
1 40. The method of claim 38, wherein the step of solving the system of
2 linear equations comprises the step of performing a zero-forcing method.
44
HPE EXHIBIT 1002 - 208/222

ABSTRACT OF THE DISCLOSURE
In a communication system, and in particular a wireless Orthogonal Frequency
Division Multiplexing (OFDM) communication system, the present invention
provides systems for estimating parameters of a channel across which a signal is
5 transmitted. The present invention may be used in a Multi-Input, Multi-Output
(MIMO) system in which the data is transmitted from any number of transmitting
antennas and received by any number of receiving antennas. The number of
transmitting and receiving antennas does not necessarily have to be the same.
Circuitry is provided for calculating parameters indicative of the characteristics of the
10 communication channel. Estimates of channel parameters may include channel
estimates and noise variance estimates.
45
HPE EXHIBIT 1002 - 209/222

6
~
8\ /10
12_
16_ 181 19
(20 22
DATA I
SOURCE OFDM
MODULATOR l y OFDM
DEMODULATOR i---i 24
18, (20
\
OFDM OFDM
ENCODER I : MODULATOR DEMODULATOR : ' I DECODER
• ~ I DATA
• •
16_./ • 18\ r20 22 • ..,,..22
14/ OFDM
•
MODULATOR
y OFDM
•
DEMODULATOR
16 FIG. 1
HPE EXHIBIT 1002 - 210/222

26 28 30
CHANNEL SYMBOL SPACE-TIME

ENCODER MAPPER PROCESSOR
32 • • •
PILOT/
TRAINING
SYMBOL : 34_. •. :
INSERTER 1-----·----·1--+--1---+--•-
ENCODER
14
FIG. 2
CYCLIC
SERIAL TO
-1----+i PARALLEL IDFT PREFIX
INSERTER
38
36 40 18
48\
PARALLEL ~
TO SERIAL ~
44 ~---'---~
42 46
LOCAL
OSCILLATOR
OFDM MODULATOR
16
FIG. 3
HPE EXHIBIT 1002 - 211/222

ANTENNA 1
GI Nr 1··-[-.....--GI Nr IGI N l···~l~---~---l

ANTENNA 2
'-----'---'. •••Fl I
G N1 Nr GI NJ• • • l·~ .,- - - ~---1
•
•
ANTENNA Q
•
'---'------' ..·LGf
G N1 NI IGI N J...18l- --1 --N-
PREAMBLE DATA
Q(G+N 1) PQ(G+N)
54 ~ t \_____ 56
52_/
FIG. 4
HPE EXHIBIT 1002 - 212/222

s
\
s1 S2 • • • So t
Sa+1 Sa+2 • • • S20 t+Ts
• • • •
• • • •
• • • •
s (Q-1 )0+1 S(Q-1)0+2 • • • Sao t+(Q-1 )Ts
OFDM OFDM OFDM OFDM

MODULATOR MODULATOR MODULATOR • • • MODULATOR ~
16
~
18
-
-
--...._
h
1L
-
h '--.. ~3L
--...._ 2L
..........
-
--...._
-
"'-.
--......
-~'.J...
.....
.....
"-
20
~
22
OFDM
DEMOD.
OFDM
DEM OD.
OFDM
DEMOD. • • •
OFDM
DEMOD. ~
R1 Ra+1 • • • R(L-1)0+1 t
R2 Ro+2 • • • R(L-1 )0+2 t+T8
• • • •
• • • •
• • • •
Ro R20
R
I FIG. 5
• • • RoL t+(Q-1 )Ts
HPE EXHIBIT 1002 - 213/222

.11"
If~""
-·-·-·-·-·-·-· ·~·-·-·-·-·-·- -·-·-·-· ·-·- ·-.
(].)
E
:.p
I
R..=
-1,J
I
I
I
/
I
/
I
I
I
/R(L-1)0+1,o
FIG. 6 R2,o R0 +2,o R(L-1 )Q+2,0
I
Rk =
Rt.k .. I
I
I
I
R0 ,o / RQL,O
~
§'
~
~<lJ
space
HPE EXHIBIT 1002 - 214/222

20 60
58~
57
SYNCHRONIZATION
ADC
CIRCUIT
LOCAL 59 61
OSCILLATOR
62
63 64
CYCLIC
SERIAL TO
PREFIX OFT
PARALLEL
REMOVER
OFDM DEMODULATOR
22
FIG. 7
114
• SPACE-TIME PARALLEL
•• ••• PROCESSOR TO SERIAL
118
110 116
•••
PARAMETER SYMBOL CHANNEL

ESTIMATOR DEMAPPER DECODER
112
t t
DECODER
24
FIG. 8
HPE EXHIBIT 1002 - 215/222

120 CALCULATE COARSE
CHANNEL ESTIMATES USING
LEAST SQUARES AND/OR
ZERO FORCING ESTIMATION
124
FIG. 9
FREQUENCY DOMAIN
INTERPOLATION
12
~ REDUCTION OF
l~~~M~EA_N~S_Q_U_A_R_E_E_R_R_O_R~~~
130
PERFORM ZERO PADDING
OF UNUSED TONES
CALCULATE COARSE
134 CHANNEL ESTIMATES USING
LEAST SQUARES AND/OR
ZERO FORCING ESTIMATION
136
FREQUENCY DOMAIN
INTERPOLATION
138 FIG. 10
FREQUENCY DOMAIN
EXTRAPOLATION
140
REDUCTION OF
MEAN SQUARE ERROR
142
~ DISCARD UNUSED TONES
HPE EXHIBIT 1002 - 216/222

CALCULATE NOISE
150 VARIANCE ESTIMATES FOR
RECEIVE ANTENNAj
FIG. 11
152
CALCULATE NOISE TERM FROM
COARSE AND FINE CHANNEL
ESTIMATES
154
MULTIPLY NOISE TERM BY THE
SIGNAL TRANSMISSION MATRIX
FOR EACH TONE
156
CALCULATE TIME DOMAIN NOISE
ESTIMATE VECTORS
CALCULATE NOISE VARIANCE

158 ESTIMATES FOR RECEIVE ANTENNAj
FIG. 12
HPE EXHIBIT 1002 - 217/222

DECLARATION FOR PATENT APPLICATION
Attorney Docket No: 062004-1930

As the below named inventor(s), I/we hereby declare that:
Our residences, post office addresses and citizenships are as stated below next to our names.
I believe I am an original, first and sole inventor of the subject matter which is claimed and for which
a patent is sought on the invention entitled Estimating Channel Parameters in Multi-Input, Multi-Output
(MIMO) Systems, the~ecification of which:
is attached hereto.
was filed on _ _ as Application Serial No. _ _ .
was filed on _ _ under U.S. Express Mail No. _ _ .
is set forth in PCT International Application No. _ _ ;
filed on _ _ and as amended Under PCT Article 19 on _ _ (if any).
I/we hereby state that I/we have reviewed and understand the contents of the above-identified
specification, including the claims, as amended by any amendment referred to above.
I/we acknowledge the duty to disclose information which is material to the examination of this
application in accordance with Title 37, Code of Federal Regulations, §1.56.
I/we hereby claim the benefit under Title 35, United States Code, § 119 of any United States
provisional patent application, foreign application(s) for patent or inventor's certificate listed below and have
,also identified below any United States provisional patent application, foreign application for patent or
jnventor's certificate having a filing date before that of the above-identified application on which priority is
,.claimed: U.S. provisional application entitled, "Synchronization for MIMO OFDM Systems," having serial
u10. 60/286,180, filed April 24, 2001,
'·i I/we hereby claim the benefit under Title 35, United States Code, § 120 of any United States patent
1i~pplication( s) listed below and, insofar as the subject matter of each of the claims of this application is not
;;aisclosed in the prior United States application in the manner provided by the first paragraph of Title 35,
'''United States Code, §112, I/we acknowledge the duty to disclose material information as defined in Title 37,
;'".Code of Federal Regulations, § 1.56 which occurred between the filing date of the prior application and the
i~national or PCT international filing date of this application: NOT APPLICABLE.
; ~:::~
·' _ I/we hereby appoint the following attorneys/agents to prosecute this application and to transact all
~pusiness in the Patent and Trademark Office connected therewith:
George M. Thomas, Reg. No. 22,260;
:James W. Kayden, Reg. No. 31,532; Scott A. Horstemeyer, Reg. No. 34,183; Stephen R. Risley, Reg. No.
135,659; Jeffrey R. Kuester, Reg. No. 34,367; Daniel R. McClure, Reg. No. 38,962; Daniel J. Santos,
Reg. No. 40,158; Dan R. Gresham, Reg. No 41,805; J. Scott Culpepper, Reg. No. 41,692; Michael J.
Tempel, Reg. No. 41,344; David R. Risley, Reg. No. 39,345; David L. Berdan, Reg. No. 41,614; Jon E.
Holland, Reg. No. 41,077; Ann I. Dennen, Reg. No. 44,651; M. Paul Qualey, Reg. No 43,024; Robert P.
Biddle, Reg. No. 35,826; Jennifer M. Gruber, Reg. No. 42,601; Peter A. Nieves, Reg. No. 48,173;
William F. Heinze, Reg. No. 36,161; Raymond W. Armentrout, Reg. No. 45,866; Robert A. Blaha, Reg.
No. 43,502; Cynthia J. Lee, Reg. No. 46,033; N. Andrew Crain, Reg. No. 45,442; Robert B. Dulaney III,
Reg. No. 47,539; Christopher B. Linder, Ph.D., Reg. No. 47,751; Adam E. Crall, Reg. No. 46,646;
Edwina T. Washington; Reg. No. 43,187; Scott M. Lohnes, Reg. No. 45,451; Sarni O. Malas, Reg. No.
44,893; David Rodack, Reg. 47,034; Troy VanAacken, Reg. No. P50,847; Charles W. Griggers, Reg.
No. 47,283; Robert E. Staehler II, Reg. No. 36,934; David P. Kelley, Reg. No. 17,420; Eric M. Ringer,
Reg. No. 47,028; Charles E. Thorpe, Jr., Reg. No. 48,782, and Glenn W. Brown, Reg. No. PSl,310.
Please address all telephone calls, in the first instance, to Scott A. Horstemeyer at telephone
number: (770) 933-9500.
Address all correspondence to: Scott A. Horstemeyer

& RISLEY, L.L.P.
100 Galleria Parkway, N.W., Suite 1750
HPE EXHIBIT 1002 - 218/222

Docket No. 062004-1930
Vwe hereby declare that all statements made herein of my/our own knowledge are true and that all
statements made on information and belief are believed to be true; and further that these statements were
made with the knowledge that willful false statement and the like so made are punishable by fine or
imprisonment, or both, under Section 1001 of Title 18 of the United States Code and that such willful false
statements may jeopardize the validity of the application or any patent issued thereon.
Inventor's Signature:
~-------------~
v__________________
Full Name of First or Sole Inventor: =A~p=r...;;u'-v"""a""""N""'.......M~o"""'d.....
Residence: 327155 Georgia Tech Station, Atlanta, GA 30332-1145 Citizenship: _ _ _ _ _ __
--------------------------~
Inventor's Signature: Date: _ _ _ _ _ _ _ __
Gordon Lothar Stuber

.Full Name of Second Inventor: -=-..::~~-=-~~..;.::...=.~;:;.::,,..----------------~
'Residence: 1052 Arbor Trace, Dekalb, Georgia 30319 Citizenship: _ _ _ _ _ _ _ __
;~ost Office Address: Same as residence
;~Xuventor's
iU Signature: Date: - - - - - - - - -
:~: .:
~ullName of Third Inventor:

Residence: Citizenship: _ _ _ _ _ _ _ __
~---------------------------
DeclarPOA-Short
HPE EXHIBIT 1002 - 219/222

l
PATENT APPLICATION SERIAL NO. ~~~~~~~~~
U.S. DEPARTMENT OF COMMERCE

PATENT AND TRADEMARK OFFICE
FEE RECORD SHEET
04/2&/2002 UABDELR1 00000028 1012875&

01 FC:101 740.00 DP
02 FC:103 J&0.00 DP
PT0-1556
(5/87)
'U.S. Government Printing Oftlce: 2001 - <tllt.o97/59t73
HPE EXHIBIT 1002 - 220/222

-.. .·
Application or Docket Number

PATENT APPLICATION FEE DETERMINATION RECORD
Effective October 1, 2001 0 ['2004- I 1''3>C
CLAIMS AS FILED • PART I SMALL ENTITY OTHER THAN
TYPE c::::J OR SMALL ENTITY
TOTAL CLAIMS
___J RATE FEE RATE FEE
FOR NUMBER FILED NUMBER EXTRA BASIC FEE 370.00
TOTAL CHARGEABLE CLAJMS )1. o minus 20= * 2-<> X$9=

INDEPENDENT CLAJMS minus3 = * X42= X84=
MULTIPLE DEPENDENT CLAIM PRESENT
D
OR
t---.....----1
+140= OR +280=
* If the difference in colul'Tln 1 is less than zero,
CLAIMS AS AMENDED • PART II
enter ·o· in column 2 TOTAL
· OTHERTHAN'
SMALL ENTITY . OR . SMALL ENTITY
OR TOTAL
---.
Column 2
HIGHEST ADDI-. ADDI-
NUMBER PRESENT
PREVIOUSLY EXTRA RATE TIONAL RATE TIONAL
PAID FOR FEE FEE
Total Minus = X$9=
* ** OR X$18=
Independent * Minus *** = X42= X84=
FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAJM
- "
OR
-------t
+140=: OR +280=
TOTAL OTAL
AODIT.FEE
..' OR ADDIT. FEE----1
.
Column 2 ...
HIGHEST
NUMBER ADDI- ADDI-
PRESENT
PREVIOU~LY EXTRA RATE TlONAL; RATE TIONAL
PAIDFO FEE FEE
.
Total
* Minus
** c
X$9= ' X$18=
OR
Independent • Minus
*** = X42.= OR X84=
FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM
+140= OR +280=
TOTAL · TOTAL
AODIT. FEE OR ADDIT. FEE
Column2 Column3
HIGHEST
NUMBER PRESENT ADDI- ADDV
PREVIOUSLY EXTRA RATE TIONAL RATE TIONAL
PAID FOR FEE FEE
Total * Minus ** " X$9= OR X$18=
Independent * Minus *** =·
X42= OR X84=
FIRST PRESENTATION OF MULTIPLE DEPENDENT CLAIM
+140= OR +280=
• If the entry in column 1 is less than the entry in column 2, wrtte "O" in column 3. TOTAL TOTAL
** If the "Highest Number Previously Paid For" IN THIS SPACE is less than 20, enter "20." ADDIT. FEE OR AOOIT. FEE _ _ _
-11 the "Highest Number Previously Paid For" IN THIS SPACE is less than 3, enter "3." 1
The "Highest Number Previously Paid For" (Total or Independent) is the highest number found in the appropriate box in column 1 .
FORM PTo.875 (R011. 8/01) . Patent and Trademark Office, U.S. DEPARTMENT OF COMMERCE
""us OPO.aiD1 482:12'"' stu»
HPE EXHIBIT 1002 - 221/222
SERtALNO. FIUNGDATE
I 1_) ! 2.. t..~ 7 t:; {

CLAIMS ONLY APPUCANT(S)
CLAIMS
ASFIUD
AFTER
111: AMENDUEHT
AFTER
2nd AMENDMENT
• • •
IND. OEP• IND. DEP. IND. DEP. IND. DEP. IND. DEP. IND. DEP.
1
. 51
2 52
3 53
4 I 54
5 55
6 56
7 57
8 ' 58
9 59
10 60
11 61
12 62
13 63
14 64
15 65
16 66
17 67
18 66
19 ( " 69
20 70
21 71
22 72
23 ' 73
24 74
25 ! 75
26 i 76
27
'i n
28 78
29 79
'
30 eo
31 ! 81
32 I 82
33 ! 63
34 I 84
35 ! 85
36
37
' 86
·; 87
38 ! 88
39 89
40 J 90
41 91
42 92
43 93
44 94
45 95
46 96
47 97
48 98
49 99
-• . • -•
50 100
TOTAL
IND.
TOTAL
DEP.
-..,
~·
7
_>.,.
CLAIMS .' 1 .:,-.
TOTAL
IND.
TOTAL
DEP.
cuuili
•MAY BE USED FOR ADDITIONAL Cl.AIMS OR AOMENDMENTS
-• - -· -· I---
U.S.DEPARTMENT OF COMMERCE
FOAM PTO.:l.022 (1 ·9e) Patent and T!1ldematt< Dfllca
1J.S. ~ Pmtalg ()mce: 1998 · it33-2l4/70303
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AO 120 (Rev.

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